Manager - Enterprise Risk Management - Asset Management/Credit Underwriting Vertical - Banking

- Led the Internal Audit and Risk Assessment engagement for various Asset Management Companies, Alternative Investment, Portfolio Managers, Credit Rating Agencies. Developed of standard operating procedure for various financial institutions like Mutual Funds, Alternative investments for core and support functions. Led and delivered Risk Advisory engagement across AMC and NBFC ranging for development of ERM framework, risk assessment, IFC review, Regulatory and Compliance review.

- Asset Management Companies - Led internal audit and risk management framework review covering valuations of investments, expenses verification and allocations of expenses as per SEBI regulations.

- Monitoring of corporate actions on various investments, cash flows in various schemes and its deployment. Review of risk identification process along with risk mitigation plans. Review of risk management policy its coverage and implementation w.r.t. risk appetite framework, identification of key risk, risk assessment and monitoring etc.

- Portfolio Management and Alternative Investment - Led risk review and internal audit projects for portfolio managers and Alternative Investment Funds (AIF). Project involved review of process of client onboarding and adherence to various KYC and AML requirements

- Review of investments, risk and compliance process as required under SEBI regulations Liaised with first line of defense for formulated standard operating manual for business and support functions of AIF.

- Team member for concurrent audit engagement for conducting PAN India branch audits. Independently conducted concurrent audit of various branches contributing almost 30% of the total turnover to the Bank. Was also involved in the audit execution team ensuring completion of audits within timelines.

- Focus areas covered in audits are General banking, FOREX transactions, Advances business, Information system control and Capital market transactions. NBFCs - Conducted review of NBFC's core business functions and support functions which includes investor relation operations, loan syndication, direct origination process, HR operations, Finance and account'sfunction.