Adarsh Gupta

Experienced professional with over a decade of experience in the Financial Services Sector, along with three years of CA internship. Committed to continuous professional and personal growth with a focus on enhancing business and economic knowledge. Key areas of expertise includes NBFC Regulatory Compliance, Regulatory Reporting and RBI Inspection.

• Awarded Super Heroes & Heroes award for inputs and handling Regulatory reporting & RBI Inspection in Bajaj Finance Limited
• Awarded EY Kudos award thrice for great performance in the areas of client service and team development.
• Awarded EY Spotlight, an award for qualities like team work, process improvement, excellence in engagement execution, etc.

• Timely preparation and submission of regulatory returns and reports to RBI. Monitoring of system control points and developments for Regulatory reporting and Ensuring tracking of all applicable regulatory mandates released by RBI.
• Highlight or escalate the areas of concern, Assess company operations to determine the compliance and regulatory reporting risk and Investigate irregularities and non compliance issues
• End to end handling of RBI Reporting related automation projects (Automated data flow). Co-ordination with various stakeholders for the purpose of regulatory reporting for data gathering and validation. Analysis of system functionalities for automation related projects.
• Identification and tracking of exceptional scenarios. Evaluating various Data validation and exception reports.
• Assisting and Handling RBI inspection and preparing the replies to the queries
• Preparation of CRAR ratio, Automation of manual processes and bring process improvements
• Ensuring closure of audit observations within the target deadlines
• Analysis of new RBI directions relevant to regulatory reporting, their implementation and communicating the key impact areas and interpretations to concerned stakeholders
• To be composed and able to cope with work pressure. Be enthusiastic and help other team members.

• Demonstrate good understanding & application of Standards on Auditing, Accounting Standards, Companies Act, Income Tax Act, SEBI Mutual Fund, SEBI Venture Capital, IRDA (Life Insurance) and other relevant regulations. Effectively apply this knowledge on the audit.
• Demonstrate ability to extract relevant information from clients efficiently. To this end, develop and manage good client relationships.
• Demonstrate ability to carry out detailed analytics and prepare qualitative analytical reasoning with business reasoning.
• A fast learning curve and the ability to adopt with the changing environment
• Deep Knowledge and understanding of the client's business operations and application of industry/sector knowledge.
• Review/develop an effective audit approach, identify significant risks, design audit program, work programs and work steps as per EY.
• Ensuring compliance with the firm's Continuing Education Policy by regular participation in various technical and firm wide learning programs.
• Ensuring attendance to all base line mandatory programs for training and personality developments.
• Monitoring team of 4-5 people in each assignment comprising of qualified CAs, interns, etc. and providing on the job training to them and continuously monitoring their performance.

• Internship at Haribhakti & Co. (A former member firm of B.D.O. International, UK) ( Aug 08 – Feb 12 )
• Post Internship at MVK & Associates ( July 13 – Sep 14 )

Roles & Responsibilities:

• Understand the work programs for areas assigned and ability to apply the same in audit execution.
• Regular & timely update to seniors as regards status of audit, issues, and business updates, etc.
• Working effectively with team members & client for ensuring smooth flow of information & execution.

• Active member of business development and marketing team for the upcoming clients.
• School Prefect, assigned with the responsibility of scheduling, handling & monitoring the day to day activities of all students.