Associate Director-AML/CTF & Fraud Risk

Assurance Manager : APRA Remediation

Associate Director, Controls Uplift | Controls Transformation 

Associate Director, Enterprise Controls

Responsible for providing control specialist guidance and supports assisting the business execute their risk management accountabilities from a Design Effectiveness perspective.

Consultant, Design Effectiveness, Enterprise Assurance

Carlton & United Breweries | AB InBev

Senior Internal Auditor

American Express

•Identifying, measuring, assessing, reporting, monitoring and controlling operational risk exposures facing American Express. Supporting the business areas in overall implementation of the company’s operational risk framework, ensuring compliance with the requirements of the Enterprise-wide Operational Risk Policy.
•Supporting the financial reporting (i.e,  SOX) risk assessment activities, including the quarterly validation of the operating effectiveness of these internal controls in accordance with the company’s policies.
•Support the operational risk assessment activities associated with the implementation or launch new business practices, products or services, in accordance with the company’s New Product Approval policy.
•Support the effectiveness of business area risk management programs through appropriate behaviors and actions and reporting assessments to Director –Operational Risk Management .

Manager/Service Delivery Leader - Operational Risk Management

KPMG

Involved in internal audit business development initiatives and business proposals. 
• Appraise progressively the adequacy and application of the internal control systems, risk management and corporate governance processes. 
• Plan, organise and perform the internal audit reviews, audit work plan, process scheduling and estimating budget/resource requirements.
• Review/draft process flowcharting, system descriptions and outline risks and controls. 
• Review/compile: Internal audit risk registers, audit programmes, working papers & audit reports. 
• Oversee and review/perform fieldwork - internal audit tests and procedures; risk assessments & report progress against outcomes.
• Ascertain the system of internal control promotes efficient and effective use of resources; improved revenue/curtailed costs, value-add initiatives, safeguards from losses arising from fraud or irregularities
• Make recommendations on the systems and procedures being reviewed, identify inappropriate and inadequate controls, report on the significant findings and suggest improvements in processes. 
• Independently discuss findings with Management and obtain management comments; monitor management's response and implementation.
• Report to management and audit committee/Board on the policies, programmes and activities of the processes reviewed.
• Manage and mentor staff to ensure the achievement of audit objectives. Provide on-the-job training and transferring of skills to junior team members.
• Establish and forge constructive, professional and strong client relationships during audit reviews.
• Compliance review of for direct and indirect tax laws and FIN48 review of the organization. 
• Contracts review and Information systems audit

Governance Risk and Compliance Services

Control Solutions

• Audit Supervisor for the Internal Audit of Supply Chain Management, Hire to retire, Finance review, Value Stream classification restructuring and process rollouts during the period under review . 
• Project Member in Internal Audit – Supply Chain Management , 
• Review of Trust accounts and superannuation funds of Leading Telecom firm

Consultant

Harit Saris and Associates (Chartered Accountants)

•	Preparing MIS report for cash flows for a Real Estate  Private Co. 
•	Structuring of MIS and its preparation for a Construction Company. 
•	Coordinated with Venture capitalist on behalf of the client and with the client. 
•	Providing consultancy for establishing Indian offices of HNI'(High Net Worth Individuals). 
•	Led a team of 3 Article Assistants  for year end Corporate Tax requirements and filing of tax return for manufacturing clients

Senior Article Assistant

Deepak Gupta & Associates (Chartered Accountants)

•	Handling accounting and book keeping for sole proprietor clients.
•	Internal Audit of Small and medium enterprises

Articled Assistant

Aiyar and Co. (Chartered Accountant Firm)

• Statutory audit of superannuation funds of Indian Coast Guard, Ministry of Defence, Government of India.
• Conducted Statutory audit of a Corrugated Fibre Containers Manufacturer.
• Statutory audit of Listed Bank limited review as per Clause 49 requirements and limited review and year end closing as Central Statutory Auditors.

A qualified Certified Public Accountant (USA) ,Chartered Accountant(Australia) and Chartered Accountant(India) with more than 17 years of professional (including "Big Four") experience specializing in the provision of Internal Audit, Risk Management and Corporate Governance advisory services.
 
 Specialties: 
• Design effectiveness and operating effectiveness assessment of controls
• Strategic-enterprise risk management; Strategic/Operational risk management workshops
• Internal audits and Risk-based audits
• Operational risk management
• Business performance audits; Management of strategic risks
• Computer assisted audit techniques (CAAT) review  (Information Systems Auditor)
• Financial discipline & Year-end review (balance sheet)
• Legal and compliance review; Service level agreement review
• Auditor general (AG): Follow-up audits
• Model business process review
• Data Analytics: Power BI desktop, Power query, Power Pivot, ACL and advanced excel based Analysis

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