Audit Manager (Team Lead – Internal Audit) - ANEJA ASSOCIATES
(2023-01)
- Lead internal audit engagements for UTI Mutual Fund and Invesco Mutual Fund, overseeing planning, execution, reporting, and closure of assignments.
- Develop risk-based audit plans addressing business, operational, regulatory, and compliance risks across diverse functions.
- Evaluate the adequacy and effectiveness of internal controls, governance frameworks, and risk management processes.
- Ensure compliance with SEBI and AMFI guidelines, internal policies, and industry best practices.
- Identify process inefficiencies, control gaps, and operational risks; recommend actionable improvements to strengthen controls and optimize business processes.
- Supervise audit teams, review working papers, and ensure adherence to audit methodologies, professional standards, and quality benchmarks.
- Engage with senior management and process owners to present audit observations, conduct root-cause analysis, and discuss remediation strategies.
- Monitor implementation of agreed action plans and track closure of audit findings through periodic follow-ups.
- Prepare and deliver comprehensive audit reports highlighting key risks, control deficiencies, and opportunities for process enhancement.
- Physical verification audits for gold and silver holdings, contact center services, and SHCIL operations.
- Conducted RCSA control mapping for Aditya Birla Sun Life AMC, including evaluation of test results to identify controls suitable for automation.
- Participated in SEBI Mutual Fund industry-wide inspection observations review activity at Invesco AMC.
- Executed due diligence assignments mandated by AMFI for Mutual Fund Distributors (MFDs).
- Undertook mystery shopping review of MFDs and reporting.
Assistant Manager - ANEJA ASSOCIATES
(2022-06 - 2022-12)
- Supported internal audit assignments across financial services clients, contributing to risk assessment, control evaluation, and compliance reviews.
- Assisted in developing audit programs, performing fieldwork, and preparing audit documentation.
- Collaborated with senior auditors to identify operational risks and propose process improvements.
- Participated in client discussions to communicate audit findings and support remediation efforts.
Vice President – Finance & Accounting - PIPAL CAPITAL MANAGEMENT PVT. LTD.
(2017-03 - 2018-11)
- Execution of finance and accounting operations for derivatives, equities, and mutual funds.
- Ensured accuracy in mark-to-market entries, broker reconciliations, and daily reporting.
- Managed statutory compliance including TDS, ITR filings, and audit submissions.
- Delivered MIS and finalized books across group companies.
- Oversaw corporate law matters (incorporation, auditor appointments, annual filings) and ROC compliances.
- Partnered with auditors and regulators ensuring adherence to reporting timelines.
Senior Associate – Fund Accounting - SS&C GLOBEOP FINANCIAL SERVICES TECHNOLOGIES (INDIA) PVT. LTD.
(2015-10 - 2016-06)
- Prepared funding analysis, liquidity forecasts, and NAV workpapers for European and US funds.
- Resolved cash, interest, and position breaks; reconciled derivatives and financial statements.
- Supported capital calls, vendor spend analysis, and management fee estimates.
- Contributed to trial balance standardization and system upgrade testing.
- Ensured adherence to departmental controls, cost reduction initiatives, and regulatory compliance.
Article Assistant - YATIN C. SHAH & ASSOCIATES
(2011-09 - 2014-09)
- Conducted statutory, internal, tax, and VAT audits across manufacturing, trading, and service industries.
- Prepared and filed income tax returns, TDS reconciliations, and VAT reports.
- Assisted in audit planning, execution, and client coordination to meet compliance deadlines.
- Delivered analytical and substantive audit procedures ensuring accuracy and timely completion.
