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