Salesforce
Amrit Raj Nath
Associate 2, Risk Management - Independence Compliance
Digboi
Summary
Overall Experienced compliance auditor with 2 years 9 months background in Big4 company with record of delivering quality work, disciplined, confident, goal-driven, team player with good communication and analytical skill. Keen towards learning and by utilizing the opportunities to grow professionally.
Overview
3
3
years of professional experience
5
5
years of post-secondary education
4
4
Languages
Work History
Risk Management - Independence Compliance
PricewaterhouseCoopers
01.2022 - 10.2024
- Analyze and audits statements of individual's brokerage (Investments) accounts, Mutual funds accounts, Bonds, Stock Certificates, Crypto, Direct stock purchase plan, Employee sponsored plan, Pension Plan, Variable insurance policy, Health savings account, 529 college saving plan.
- We also audit client's restriction on owing investments in PWC independence firm policy.
- Applying PWC independence firm policies to evaluate financial relationship.
- Regular interaction with US manager and stakeholders to discuss an appropriate remedial action to be implemented for a potential risk.
- Ensured quality, integrity and completeness of data related to clients in various independence system of the firm. Supported engagement teams in complying with independence policies.
- Coordinated within team to safeguard there are no independence violations by the new joiners.
- Carried out analysis with research activities and necessary communication along with updating the relevant database and process documents.
- Handled various applications such as Salesforce, Service Now, Central entity service, Independence checkpoint, US mailbox.
- Participated in wide range of project and collaborated across multiple work stream.
- Followed the standards set by SEC, PCOAB, AICPA as these regulatory requirements directly impact PWC and each PWC staff.
- Reviewed the work processed by the team member before sending files to candidates.
Education
MBA - Accounting And Finance
NSHM Knowledge Campus
Kolkata, India 08.2018 - 07.2020
Bachelor of Commerce - Accounting And Finance
Digboi College
Digboi 07.2014 - 07.2017
Skills
Ethics compliance
Multitasking
Time management abilities
Research and data collection
Ability to work under pressure
Delivering quality work under short deadlines
Client Relations
Accomplishments
- Promoted to Associate 2 with rated tier 2 ratings as per PWC performance policy.
- Rewarded and recognized with spot award, Bright beginner, Line of service award for outstanding contribution.
- Awarded with Runners up in district level badminton tournament.
- Maintained more than 10,000 files throughout, while tracking and managing filing service for up to 36 files per day.
Hobbies
Gym, Music, Movies, Travelling , Badminton
Software
Service Now
MS office
MS Excel
Timeline
Risk Management - Independence Compliance
PricewaterhouseCoopers
01.2022 - 10.2024
MBA - Accounting And Finance
NSHM Knowledge Campus
08.2018 - 07.2020
Bachelor of Commerce - Accounting And Finance
Digboi College
07.2014 - 07.2017
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