Experience

Commercial Bank

• United States
• Banking
• 100 - 200 Employee

• Head of Functional and Assurance Audit

  • Nov 2022 - Present

• Acting Head of Functional Audit and Assurance

  • Jan 2022 - Nov 2022

  Along with the Functional Audit, beginning 2022 was responsible to manage the Assurance Audit Team as well.

• Acting Head of Functional Audit

  • Jan 2021 - Nov 2022

  - Manage the Functional Audit team and oversee the execution of individual audits defined in the audit plan.- Review audits and prepare Internal Audit reports for senior management, CIAO and Board Audit Committee.- Manage the team with regard to follow-up process i.e. track, follow-up, and ultimately close all open audit issues.- Engaged in Risk Based Operational and Thematic Based Assurance audits including regulatory compliance audits and branch audits.- Audit assignments of various divisions including Retail Banking, Treasury, Investments, CBIS (CB Innovation Services), Branches, Collections, Cards Operations, other Operational Services and cross country Banking Operations (India Operations)- Instrumental in reviewing critical processes in the Banking Operations after the CB’s sourcing strategy from offshore outsourcing to insourcing Operations (CBIS) was performed.- Involved in special reviews which involve analyze of data and offering strategic input that reflects the unique needs of each individual business and ad hoc Bank investigations- Responsibilities encompass audit planning, audit supervision during the field work, preparation of audit reports, follow up of audit findings and training of team members. Show less

• Senior Auditor (Manager Level)

  • Jan 2017 - Feb 2021

  - Reviewing of the internal control system on the functions under audit.- Review of audit programmes and execution of operational audits of various departments and units of the Bank-Discussion on the findings and conclusions to the accountable management at the end of the internal audit field work.-Responsible to Follow up the audit issues till their resolution and discussed in the audit reports to ensure the compliance and actions.-Conducting Risk based audits, Investigations and special audit assignments Show less

• Senior Auditor (Supervisor Level)

  • Jan 2011 - Dec 2016

  -Participation in review of audit programmes.-Execution of operational audits of various departments and units of the Bank-Following up the matters reported and discussed in the audit reports to ensure the compliance and actions.

• Team Leader, Internal Audit

  • Jan 2006 - Dec 2010

  -Conducting Bank Branch audits independently.-Drafting reports highlighting the internal control weaknesses, opportunities for improvement in operational efficiency and recommendation on necessary preventive, detective and corrective actions.-Preparing audit programmes.-Execution of operational audits of various departments and units of the Bank.-Analysing evidences gathered and interpreting them objectively in the context of organisational and business objectives and the purpose of the internal audit assignment.-Assistance in Bank investigations. Show less

• Internal Auditor

  • Aug 2002 - Jan 2006

  -Investigation into shortages and over in cash in the case of Branch Tellers, and other operational loss investigations, supervise various promotional draws conducted by the bank.-Understanding instructions received from the senior auditors and act appropriately in achieving the objectives.-Completing the test of controls with senior Auditors. Highlighting non-compliance with the operating procedures, rules and regulations for the attention of the Head of Divisions or units.-Preparing and indexing audit working paper and files when required-Daily day to day monitoring of activities relating to Money market & Bank’s Portfolio performed by the bank. (Money Market, FOREX deals, local & international shares)-Monitors the limits set by the Central Bank with regard to the Bank’s Investment Portfolio.-Monthly review of exceptional reports and daily monitoring of outstanding items in the various suspense accounts and their follow up Show less

• Assistant Internal Auditor

  • May 1999 - Aug 2002

  -Assisting the audit seniors in the fieldwork.-Checking of transactions as per the audit schedule that includes transaction testing and verification, tests of controls.-Conducting Bank Branch audits.-Preparing of the internal control system on the functions under audit