Abhishek Sehgal

· Conducting Risk based audits to assess the effectiveness of internal controls, compliance with regulations, and operational efficiency.

· Identifying and documenting key operational, and compliance risks with action recommendations to mitigate gaps.

· Preparing root cause analysis for audit findings, recommending process improvements to address the issues.

· Conducting follow-ups audits to verify implementation and effectiveness of corrective actions on findings.

· Collaborating with cross-functional teams to enhance compliance, improve processes, and strengthen controls framework.

· Collaborating with business teams to ensure corrective actions are implemented, updated, and aligned with the remediation plans for issue closure.

· Preparation of the report and issue closure to confirm the resolution of audit findings and validating the effective remediation.

• Performed control testing on Non-Financial Regulatory reports to ensure completeness, accuracy and timely submissions to the regulator
• Planning utilization of resources and monitor progress
• Provided solutions to any challenges/ issues faced
• Maintenance of Key MI updates and presentation to Senior Management
• Developed new improved standards for designing and creating the testing protocols
• Understanding the regulations for reports submitted across jurisdictions
• Liaised with multiple stakeholders including compliance team and Risk partners

• Identified the emerging Risk & Issues via Change Risk Assessment, Internal process reviews and thematic reviews.
• Contributed towards Process level Risk and Control Assessment via identifying key controls and

Preforming adequacy & effectiveness testing of controls.

· Ensured testing of key controls for critical functions at regular interval, thereby highlighting the gaps, if any.

· Conducted root cause analysis of the process failures and advise management on the remediation and action plan.

• Highlighted observed Key Risk Indicator trends and conducted root cause analysis of process failures and advise management on the same.
• Provided support in up-skilling business staff to build Generative risk culture within organization.
• Logged and tracked material Risk/ Issue/ Events/ Controls via online central tool i.e. ORBIT.
• Facilitating Risk Committee meetings for India and UK.