Project Leader
Sears Holding India
Total years of experience :16 years, 7 Months
• Currently working with Sears Holding India (SHI) as Project lead, Corporate Audit and responsible for performing SOX audit (execution and review) internal audits, Operational audits for SHI and SHGS Hong Kong. Responsible for assigning task to team and review their completion.
SOX review:
Responsible for assisting in Annual Sox control scoping, Rationalization and Resource planning.
Weekly project updates to SHI and SHC SOX manager.
Performing process walkthroughs for critical controls and reviewing the control tested by Team members for Business SOX and IT SOX.
• Worked with HDFC Securities, in their Internal Audit Department. Responsible of Preparing of Yearly audit schedule, Defining the Audit Methodology & process. Audit Commencement discussion with Functional Team/ Department. Conducting Investigation for the fraud/ forge cases. Provide recommendations to mitigate the risk and to strengthen the controls for the gaps identified in the course of audit. Finalization of Audit reports after discussion with the department head. Handling SEBI / Regulatory Auditors (System, Inspection). Key areas audited as KYC, AML, Risk Management, Operations (PIPO) compliances, Branch Audits, Finance & Accounts Audit.
• Worked with Aneja Associates, in Risk Advisory team. Responsible of providing advisory services to broking and Financial services companies. Review of compliance with corporate policies, statutory & regulatory environment by ensuring that SEBI, NSE, BSE & RBI guidelines are adhered to and ensuring quality deliverables for clients. Key areas audited as KYC, AML, Risk Management, Operations (PIPO) compliances, Sub broker compliance review, Branch Audits, Finance & Accounts Audit, LAS review. Some of the key clients:
ICICI Securities limited
ICICI securities Primary Dealership
ICICI Bank
Edelweiss Capital Finance Limited
JM Financials
Mangal Keshav Securities Limited
RAMI Investments