Aswath S

• Performed end-to-end SOX 404 IT controls testing, including walkthroughs, design evaluations, and operating effectiveness testing for applications, databases, and infrastructure components, ensuring alignment with PCAOB, COSO, and organizational ICFR requirements.
• Executed detailed testing of IT Application Controls (ITAC), such as automated configuration checks, workflow validations, system-based approvals, and data processing controls, ensuring the accuracy and completeness of key financial processes.
• Developed standardized testing documentation, including process narratives, control matrices, risk and control mappings, and test scripts, improving audit quality and review efficiency.
• Acted as the primary point of contact for U.S.-based clients, managing requests, providing clarifications, resolving audit issues, and driving remediation and closure of identified deficiencies.
• Utilized data analytics and automation tools (Excel automation, Alteryx, BOTs, RPA-enabled checks) to streamline sample selection, data validation, and control testing procedures, reducing manual effort, and improving audit accuracy.
• Evaluated IT environments for change impact, confirmed configuration stability, and applied benchmarking for automated controls wherever appropriate, per PCAOB guidance.
• Identified process improvement opportunities across audit phases, generating insights to enhance documentation quality, reduce testing time, and improve control maturity assessment frameworks.

• Leading contract analysis processes within the Accounting Workflow Terminology (AWT) framework to ensure data integrity and compliance.
• Managing both pre-execution and post-execution contract requests, aligning with client service expectations.
• Reviewing and providing accounting approvals via Salesforce, ensuring workflow accuracy.
• Implemented quality control measures to reduce errors and enhance overall process efficiency.

Consultant

• Participated in ITGC compliance assessments, supporting internal audits, and risk management processes.
• Assisted in evaluating the effectiveness of IT security controls and system governance.
• Conducted detailed reviews of access management and IT operations.
• In-depth knowledge in access management, change management, and IT operations of ITGC controls.
• Helped ensure adherence to regulatory standards, and contributed to comprehensive risk assessments.

• Conducted regulatory analysis on the U.S. Mortgage laws are based on client-specific requirements to ensure compliance.
• Verified and updated findings related to legislative bills and regulations, maintaining high data accuracy.
• Contributed to reports for Bloomberg Government and DSS, and carried out cross-verifications through SharePoint for data integrity.