Senior Manager – Governance & Audit at Luminous Power Technologies Pvt. Ltd (2025-10 – Present)
Previously Manager, Ethics & Compliance From July 2024 to September 2025
- Conduct Anti-Bribery & Corruption reviews including Governance and tone at the top, Bribery risk assessment, review policies (COC, G&H, Donation, CSR, COI, Whistle-blowing) and test operational effectiveness of controls (procurement, payments, petty cash/imprest, vendor master, books & records, BGV, G&H expenses) through sample testing, training and management interviews and recommend enhancements to the ABAC framework.
- Fraud Investigation: Lead end to end investigations (including bribery & corruption, data breaches, misappropriation of funds, financial fraud, conflict of interest and procurement fraud), managing the whistleblower hotline, conducting data analytics (transaction testing, bank statement/mobile data review, market intelligence) and executing end-to-end processes from evidence collection and subject interviews to confession documentation and final report writing.
- Manage the Conflict of Interest (COI) program by conducting reviews at on-boarding, annual disclosures and ad-hoc case evaluation, launched and drove a company-wide annual COI campaign achieving 100% employee participation.
Responsibilities included risk identification, developing mitigation plans and regularly reporting key findings to Ethics Committee.
- Regularly presents updates on whistleblower case status, investigation outcomes, conflict of interest disclosures and ABAC compliance training progress to Ethics Committee, senior leadership and group holding company (Schneider Electric).
- Led Action Taken Report (ATR) for open risks highlighted during ABAC review, Fraud investigation and ERM, engaging action owners to drive timely closure.
- Conduct fraud analytics across key financial datasets to identify red flags and control gaps, including T&E report, payroll, accounts payable/receivable, inventory adjustments, asset disposal, vendor creation, bid rigging, duplicate POs / invoices.
- Training & Communication: Deliver COC training to 1600 employees across 10 sessions, enhancing employee understanding and ownership. Disseminate ongoing ethics communication via internal channels including Email and Yammer.
- Third party risk management (TPRM): Led TPRM program, includes due diligence and risk assessment of vendors in accordance with client's policies [e.g., anti-bribery checks i.e. Negative media, Litigation, Political exposure etc). Assigned risk ratings (low/medium/high) based on defined criteria and controls, ensuring consistent application across on-boarding and refresher due diligence process. Implemented enhanced due diligence and continuous monitoring protocols for high-risk vendors, including periodic reassessments, contract clauses etc.
- Partnered with L&D to revamp the Code of Conduct Training Module, ensuring alignment with updated compliance expectations.
- Drafting of various policies and SOPs for company including Commercial Policy, Business Extension, Gift & Hospitality, Conflict of interest, Anti-Bribery & Corruption, Whistle-blowing Policy etc.
- Assisted in ICFR self-assessment program, evaluating design and operating effectiveness, diagnosing root causes of deficiencies and testing controls to ensure framework compliance.
- Assisted in Enterprise Risk Management (ERM) program, engaging with senior management on risk identification, maintaining risk registers and driving prioritisation of key risks to strengthen the organisation's governance framework.
- Gift & Hospitality Digitalization: Spearheaded the digital transformation by partnering with IT to launch a system-integrated gift approval tool and matrix. Replaced inefficient manual tracking and email-based approvals with a centralized and automated register for monitoring.
- SAP Manual Journal Entry (MJE) Controls: Partnered cross-functionally with IT and Finance to transition the MJE process from manual tracking to a system-enforced workflow within SAP. Implemented mandatory pre-posting approvals and mandatory supporting documentation routing, effectively eliminating unauthorized entries and strengthening internal controls.
- Controls relating to Financial Statement (FS): Designed and implemented a control mechanism within the internal IT system that maps specific preparers and approvers of each FS head, established definitive system-based accountability, prevented SOD conflict and strengthening internal controls.
Senior Consultant, Forensics & Integrity Services at Ernst Young India LLP (2022-10 – 2024-07)
Previously Consultant, Forensics & Integrity Services from June 2021 to September 2022
- Performed fact finding review, using Relativity (Forensic Tool for ESI review), into allegation of financial misconduct, misappropriation of funds, falsifying business expenses and conflict of interest between company's employee and vendor, fraudulent practices and misuse of company resources for personal gains.
- Performed fact finding review, using Intella (Forensic Tool for ESI review), into allegation against procurement team related to collusion between alleged employees and vendor, procured material at higher value than prevailing market price, bid manipulation, bid rigging and data breach by alleged employee.
- Performed fact finding review, related to sales commission paid to Government officials, gifts by over-riding company policies for gathering business, overstatement of expenses for generating cash, cross adjustment of debit balance of debtors.
- Conducted ABAC review for oil and gas client, scope of engagement includes governance and tone at top, review of bribery risk assessment performed, review of ABAC related policies and operational effectiveness of internal controls placed by sample testing of sensitive ABAC GLs, communication and training and reporting & review, which includes management interviews and recommendations on implementing a robust ABAC compliance framework.
- International experience: Performed Sales process review of channel partners of a leading multi-national IT company in multiple countries. The scope of engagement includes validation of discount pass through, excess billing in sales process and review of funds issued to channel partner for carrying out various marketing and promotional activities on client behalf.
- Other Engagement: Review of financial statement performed for a leading real estate company to find potential diversion of funds by target companies includes profiling of target entities and its directors (Entity, shareholders and family members, other entities in which shareholders and family members are involved.
Consultant, Internal Audit at Donepull | Ernst Young India LLP (2020-11 – 2021-05)
- Assisted in risk based internal audits of automotive manufacturer with respect to Inventory management, Procurement to Pay, Finance and Accounts, Legal compliances, Operations & warehouse management process.
Consultant, Internal Audit at Grant Thornton India LLP (2019-11 – 2020-07)
- Performed risk based internal audits of NBFC and Book publishing company with respect to Order to Cash, HR & Payroll, Vendor Management & expenses and Treasury & Insurance process.
- Executed Internal Financial control / SOX assessment.
- Conducted follow up audits to monitor managements' interventions as per defined action plans.
