BHAVESH FERWANI

• Conducted quarterly internal audit for a listed NBFC–CIC, ensuring compliance with RBI regulations, CIC norms, and statutory reporting requirements.
• Reviewed investments, group exposures, related-party transactions and evaluated the effectiveness of internal controls and governance.
• Performed Half-Yearly Internal Audit of a stock broker covering SEBI and exchange compliance, KYC/CKYC norms, margins, pledging/re-pledging, and segregation of client funds/securities.
• Reviewed demat/remat requests, KYC/CKYC compliance, and account opening (physical & online) & closure processes, ensuring complete documentation, client verification, and adherence to SEBI/NSDL/CDSL norms.

• Participated in client meetings to discuss audit findings and provide recommendations for financial performance enhancement.
• Performed detailed testing of financial statement line items, such as inventory, receivables, and payables. This included tests of controls, substantive testing, and analytical review procedures using PwC's audit tools (Aura, Connect, Halo)

Statutory Audit

• Performed various statutory compliance and examined financial statements using different analytical procedures, such as ratio analysis and trend analysis, along with the compliance procedures of various companies.
• Verifying and assessing the reliability of BRS with the aid of vouching and verification of the relevant corresponding supporting

Indirect Tax

• Prepared detailed GST reconciliation reports by matching GSTR-2A/2B with purchase registers and GSTR-3B, ensuring accuracy in input tax credit claims.
• Provided assistance to clients in the preparation and filing of GST Returns (GSTR-1, GSTR-3B, GSTR 9, and GSTR-9C).
• Facilitated the GST registration process, from documentation to successful approval, in compliance with GST laws.

Stock Audit

Led a team in conducting a comprehensive stock audit of the CASTROL warehouse in Dhanbad, Jharkhand, which included

• Conducted physical stock counts and reconciled them with inventory records to identify discrepancies.
• Examined stock movement processes, including receiving, storage, and distribution, to identify potential risks and inefficiencies.
• Documented findings and prepared detailed stock audit reports, with recommendations for process enhancements.

ROC Compliance

• Assisted in the incorporation of a private limited company in compliance with the Companies Act, 2013 — including drafting MOA/AOA, filing SPICe+ forms, and coordinating with the Registrar of Companies.
• Independently handled drafting and filing of statutory applications on the MCA portal for changes in company structure, including increase of authorized share capital, change of company name and shifting of registered office, ensuring full compliance with the Companies Act, 2013 and ROC requirements.