Mallika Tarannum Shaik

• Performed daily account reconciliations, identified and reported exceptions to ensure accuracy in financial
positions and support timely risk mitigation using Microsoft office.
• Conducted self-assessments of CASS NMI (New Material Issues) controls to identify gaps and strengthen
control effectiveness.
• Executed controls under the CASS (Client Assets Sourcebook) framework as regulated by the FCA,
ensuring compliance with industry standards.
• Identified opportunities for process improvement and developed automated workflows using Alteryx to
enhance control efficiency and reduce manual dependency.
• Conducted Quarterly Townhalls, presenting performance analysis of income statements and quarterly
results to stakeholders
• Participated in governance forums by preparing and delivering presentations to stakeholders, contributing
to risk awareness and control discussions.
• Ensured adherence to regulatory compliance requirements and contributed to the mitigation of operational
risks across business processes.
• Performed testing and validation of multiple BOT runs to ensure accurate outputs and operational
reliability.
• Actively participated in team cross-training initiatives to support knowledge sharing and build broader team
capability.
• Handled account opening processes, including reviewing positions in newly opened accounts using the
ATLAS system.
• Liaised with internal and external agents to resolve operational queries, manage process-related issues,
and ensure timely execution in line with established procedures.

• Delivered results as a part of QA team for Quarterly assessments of our Control Assurances
• Managed the control inventory for Audit by scoping and planning the testing phases for
the same depending on the impact
• Conducted assessments of operational and design effectiveness of controls in designated market
activities throughout the bank (900 KPC instances) and ensuring alignment with FX consent order
issued by US federal.
• Conducted control assurance on the controls existing as 1 st line of defense and as a part of
monitoring and surveillance
• Identified Issues and control observations, collaborating with control owners to develop and
implement risk mitigation strategies
• Actively participated in onboarding processes to FLOAT tool, including UAT testing and
collaborating with the Development team
• Coordinated with the Alteryx Data analysis team to create Tableau dashboards to track
audit progress

• Completed internship as part of professional qualification in Cost and Management Accountancy.
• Used Tally ERP 9 to record transactions, maintain ledgers, and support accurate financial reporting and
financial statements.
• Assisted in preparing reporting for monthly and quarterly financial reviews, including reconciliations and
variance analysis.
• Conducted review reporting of journal entries, bank statements, and trial balances to ensure data integrity and
compliance with accounting standards.
• Supported internal audit scope development, testing, and findings documentation under senior guidance.
• Performed comprehensive physical verification of fixed assets and updated records in Tally ERP 9 to reflect
accurate book values.
• Compiled audit observations and assisted in preparing reporting packs for management dissemination.