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An experienced and highly educated internal auditor with nine to ten years of experience in banking industry and stock exchanges.

  • An experienced audit leader; has led many end to end audits with team members ranging from 3 to 5 covering Investment Banking, Corporate Banking, Wealth Management, Retail and Capital Markets.
  • Professionally qualified backed by multiple globally recognised degrees (CFA, FRM, CA & CAMS) in the fields of finance, risk management, accountancy, auditing, and anti money laundering.
  • Articulate, demonstrating exceptional relationship building with regional audit team members and stakeholders.
  • Possessing good business acumen with an aptitude for quickly grasping concepts & undertaking in depth review of various business processes.

Work experience

Feb 2013Present

VP - Internal Audit

Barclays Bank
  • Responsible for audit coverage over the India onshore business activities of Barclays group. Undertaking risk assessment of different entities/functions and developing an audit plan.
  • Leading end to end audits. Deciding the scope of audit, assessing the design and operating effectiveness of controls, discussing the identified control gaps with stakeholders and reporting through audit report.
  • Reviewing work of subordinates and providing guidance.
  • Continuously monitoring key risk indicators through meetings and targeted reviews. Working collaboratively with stakeholders in the early identification of emerging control issues and reporting them through continuous monitoring reports and targeted review reports.
  • Liaison with the regulators and external auditors on various matters.

Key audits executed:

  1. Treasury Desk and Back Office Operations (Money Market, Fixed Income, Derivatives & Options) - Lead role
  2. Credit Function Audit - Lead role
  3. KYC, AML, CDD Adherence to Regulatory Guidelines - Lead role
  4. Compliance Functions of the Bank - Lead role
  5. Material Financial Outsourcing - Lead role
  6. Loan Against Securities (wealth management) - Lead role
  7. Regulatory Benchmark Rates Submission - Lead role
  8. India Onshore Financial Controls - Lead
  9. Equity and Derivatives Trade Execution and Compliance - Team member role
  10. APAC Non Core Portfolio Sale procedure review - Team member role.

Jul 2010Nov 2012

Manager, Internal Audit

Yes Bank
  • Assisting the Audit Head in annual planning based on risk assessment of various functions of the bank.
  • Deciding the scope of audit, executing the audit through managing a team of 2 to 3 audit members, discussing and closing the issues with the stake holders and preparing audit reports.

Key audits executed:

  1. Treasury desk, Middle Office and Back Office operations (Money Market, Fixed Income, Derivatives & Options) – Lead role
  2. Retail Branch Audits – Lead role
  3. Compliance Functions of the bank - Lead role
  4. KYC, AML CDD Policy and Procedures - Lead role
  5. Asset Liability Management desk – Team member role
  6. Mutual Fund Portfolio Analysis – Team member role
  7. Cash Management Products – Team member role.
Jun 2009Jul 2010

Senior Executive Officer, Market Operations Department

MCX-Stock Exchange
  • Ensuring accurate & timely reporting of data to Securities Exchange Board of India (SEBI) on daily, weekly & monthly basis.
  • Development of synchronized trade reports, currency wise daily volume, turnover analysis reports.
  • Raising business requirement specification for automating reports and functional testing and engaged in various development activities to streamline the functions.

Dec 2006Apr 2009

Senior Executive Officer, Investigation Department

National Stock Exchange of India
  • Analyzing the various trading strategies (speculation/hedging/arbitrage) used by traders in the equity, derivatives and currency derivative segment.
  • Investigating into the cases of Insider Trading, Pump and Dump, Front Running, Market Rigging and other cases of price and volume manipulation.
  • Preparing detailed market / security analysis reports as per internal, SEBI and Ministry of Finance requirement.
  • Providing inputs and discussing with Surveillance department about the appropriateness of statistical tools used in surveillance alerts generation.
  • Creating general awareness about equity and derivative markets through Investor Awareness Programs (Investments / Equity and Derivatives markets / Fundamental Analysis).


  • Certified Anti-Money Laundering Specialist (CAMS) – Association of Certified Anti Money Laundering (August 2014)
  • Chartered Financial Analyst (CFA) - Global Association of Investment Professionals - USA (June 2009)
  • Financial Risk Manager (FRM) - Global Association of Risk Professionals - USA (November 2009)
  • Chartered Accountant (CA) - The Institute of Chartered Accountants of India (May 2006)
  • Commerce Graduate (B.Com)– K. J Somaiya college of Arts and Commerce (Mar 2003)

Other Details

  • Computer skills - Working knowledge of Word, Excel and PowerPoint
  • Languages known - English and Hind
  • Telephone number for tele-interview - +91 9819245726