Keerthi Kandan

Risk & Compliance professional with 6 years of experience in SOX-aligned internal controls, operational risk management, control testing (TOD/TOE), RCSA, audit support, and regulatory compliance across banking and financial services sectors. Experienced in control walkthroughs, governance reporting, remediation tracking, risk assessments, and audit readiness. Proficient in Excel VBA, Power BI, SQL, and reporting automation supporting risk and compliance functions.

Risk & Compliance Analyst – Control Testing (Truist Bank) - Accenture Solutions Private Limited - Chennai

(2024-08 - 2025-08)

• Executed Test of Design (TOD) and Test of Effectiveness (TOE) assessments for 20-25 controls across operational, regulatory, and compliance areas within a regulated banking environment.
• Conducted control walkthroughs and Risk & Control Self-Assessments (RCSA) to evaluate control effectiveness and identify potential control gaps.
• Supported SOX-aligned control testing activities through review of process documentation, SOPs, governance controls, and supporting evidence.
• Maintained risk registers, testing evidence, and control documentation to support compliance monitoring, audit readiness, and governance requirements.
• Managed relationship with 18+ business stakeholders and auditors for evidence collection, remediation tracking, issue resolution, and timely closure activities.
• Automated governance reporting using Excel VBA, reducing effort 98% while mentoring team members.

Senior Executive – Risk Management (Mutual Funds) - Computer Age Management Services Private Limited - Chennai

(2019-08 - 2024-08)

• Supported operational risk management and compliance activities across 19+ mutual fund processes in alignment with regulatory and internal control requirements.
• Monitored 150+ Key Risk Indicators (KRIs), exception reports, and governance dashboards to proactively identify operational and financial reporting risks.
• Investigated control exceptions through root-cause analysis, coordinated remediation, issue closure, and led process improvements.
• Assisted closure of 36+ audit findings through evidence management, documentation review, and remediation tracking.
• Collaborated with 50+ Fund Managers, Compliance teams, Operations, and AMC stakeholders to ensure adherence to internal controls and regulatory policies.
• Led and mentored team members on risk assessment methodologies while developing VBA automation tools to improve team delivery timelines.

Personal Development & Technical Upskilling - Self-Employed

(2025-08)

Advanced technical expertise in Power BI, SQL, Python, VBA, Advanced Excel, and Data Analytics through certifications and hands-on projects supporting reporting automation and governance analytics.

MBA - Finance - University of Madras (2022-01 - 2024-12)

M. Com - Commerce - University of Madras (2020-01 - 2022-12)

B. Com - Commerce - Meenakshi College for Women, University of Madras (2015-01 - 2018-12)

HSC - Adarsh Vidyalaya Higher Secondary School (2015-01)

SSLC - Immaculate Heart of Mary Matriculation School (2013-01)