S Malviya

Risk & Compliance professional with 10 years of experience in Big 4 consulting and global financial organizations, specializing in internal controls, risk assessment, SOX compliance, audit support, governance frameworks, and control testing across complex business environments. Experienced in stakeholder management, issue remediation, risk monitoring, regulatory compliance, and process improvement initiatives aligned with enterprise governance standards. Proven ability to support cross-functional teams, strengthen control environments, and deliver risk-based assessments across finance and operational processes.

Currently enhancing expertise in ITGC, SOX, and technology risk frameworks to align with evolving global compliance and audit expectations.

Senior Consultant at PwC India (2024-08 – Present)

• Executed risk-based control testing and evaluated control effectiveness across finance and operational processes aligned with SOX and enterprise risk frameworks.
• Supported SOX compliance initiatives, governance reviews, and internal control assessments across multiple client engagements.
• Managed issue lifecycle activities including root-cause analysis, remediation tracking, action planning, and escalation management.
• Conducted RCSA and control rationalization activities to improve control effectiveness and strengthen governance frameworks.
• Prepared audit-ready documentation, walkthroughs, testing work papers, dashboards, and governance reporting for senior stakeholders.
• Collaborated with Finance, Internal Audit, IT, Compliance, and Risk teams to strengthen control environments and support audit readiness.
• Supported governance assessments related to finance process transformations, system implementations, and policy changes.
• Mentored and reviewed work performed by junior team members to ensure quality and compliance with engagement standards.

Team Lead at Citi Service India Pvt. Ltd. (2022-10 – 2024-08)

• Supported governance and compliance activities across both 1st and 2nd Line of Defense models to strengthen enterprise risk oversight.
• Executed control monitoring and compliance testing activities assessing control design and operating effectiveness.
• Led issue management activities including identification, remediation tracking, closure validation, and governance reporting.
• Partnered with business stakeholders to identify control gaps and drive sustainable remediation initiatives.
• Supported enterprise risk assessments (RCSA) and contributed to risk identification, control evaluation, and residual risk analysis.
• Prepared management information dashboards and governance reporting related to control performance and issue status.
• Supported audit readiness activities and ensured alignment with regulatory and internal policy requirements.
• Collaborated with Internal Audit, Compliance, and Risk teams to support governance and escalation management.

Lead Process Analyst at TIAA GBS (2019-03 – 2022-09)

• Performed control testing and governance monitoring activities across finance and operational processes.
• Supported enterprise risk assessments and RCSA activities including control evaluation and risk identification.
• Managed issue remediation tracking, governance reporting, and control effectiveness reviews.
• Prepared actionable dashboards, risk summaries, and compliance reports for senior stakeholders.
• Supported change governance initiatives by assessing control impacts arising from process and system changes.
• Coordinated with Finance, Compliance, Risk, and Internal Audit teams to support governance alignment and audit readiness.

Business Associate at Barclays Global Service Centre (2018-08 – 2019-03)

• Supported finance governance compliance activities aligned with enterprise risk and control standards.
• Performed control monitoring and testing activities to identify control gaps and operational risks.
• Managed issue tracking and remediation activities including governance reporting and escalation support.
• Supported governance oversight for finance process changes, system enhancements, and regulatory updates.
• Collaborated with Internal Audit, Compliance, and Risk stakeholders to improve control effectiveness.

Financial Analyst at eClerx Services (2016-06 – 2018-08)

• Supported compliance testing and control validation activities across finance operations.
• Prepared audit-ready testing documentation, reconciliations, and governance evidence.
• Maintained issue logs, remediation tracking records, and control review documentation.
• Identified control gaps and process deviations and escalated observations to senior management.
• Supported process improvement initiatives focused on governance, controls, and operational efficiency.

MBA in Finance – GH Raisoni Institute of Management and Studies

BBA in Finance Management – Shri Brijlal Biyani Science College