bhautik kataba

• I am having experience of conducting various independent audits like Retail branch
banking operations, Retail forex operations, Offsite ATM, Whole sale banking
operations, Currency chest and Loan against gold and jewellery.
• Risk-based periodic monitoring to ensure effective & robust risk governance and
control framework is in place for various Retail / Operational / Compliance /
Technology or other risks that the organization face and adequacy & effectiveness
of the internal controls in place to mitigate those risks for the compliance with
internal guidelines, policies & standards as well as external rules and regulations.
• Conducting compliance testing to ensure effectiveness of controls at Front and
Second line control units.
• Proactively carrying out independent evaluation of Risks and develop testing
strategies on a risk based methodology of Key Controls.
• Checking and enforcing compliance with RBI, FEMA guidelines and other applicable
laws.
• Documented audit procedures and working papers; proposed adjusting journal
entities.
• Prepared audit reports designed to provide operating and corporate management,
and managements planned corrective actions.
• Evaluation of corrective actions taken by the branch.
• Deputation Mumbai I am also having work experience for conducting 4
branch audits at Mumbai during deputation.

• Auditing, Compliance & Reporting as per Companies act, 2013: Statutory audit
under Companies Act, 2013 based on developed audit plans & procedures of
various listed / non listed entities as per laid guidelines and regulations including
disclosure & reporting requirements as per Ind AS across Industries.
• Audit in Banking Sector: Conducted various audits in Banking sector such as
Statutory Audit and Tax Audit of Bank Branches, Concurrent Audits for various
banks branches, Stock audits of bank borrowers covering various Industries.
• Project finance: Handled Project Finance assignments to obtain debt for Term
Loans, Working Capital Loans etc. along with preparations of Project and CMA
reports (Credit monitoring arrangement).