Dimple Mehrotra

• Regulatory risk management & compliance
• Automation, standardization & process simplification
• Leading regulatory inspections
• Implementation of action plan to meet regulatory expectations
• Making regulatory inspections ‘business as usual’
• Centralized regulatory compliances and filings (NFRA Form 2)
• RMP delegate for various critical functions
• Meeting business expectation: turn around time and continuous engagement
• Managing association risk and strengthening CEAC.
• EQCR assignment, independence clearances and other compliance matters
• Contributed as key team member for audit strategy refresh
• Trainings and knowledge dissemination
• Led successful SoQM implementation during initial phases
• Collaboration with multiple service lines and workstreams including chain of command
• Contributed significantly as a part of global team during SOQM project
• Significant involvement in Firm's internal inspection ‑ QPR process for audit and involvement in Root Cause analysis process (first year)
• Driving the quality agenda with trainings and knowledge dissemination especially to PDM group
• Independently handled limited scope testing process ‑ an internal process developed to minimize recurring observations from internal and external inspections (Timing and extent of sign offs, quality stamp, EQCR involvement, etc)
• Drafting of Quality Control Statement and Transparency report
• Developed high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
• Team development, mentorship & talent acquisition and retention
• Knowledge sharing & subject matter expertise (SME) development

Post 1.5 years after qualification, transitioned to Audit Risk Management

This includes 2 year articleship experience and 1.5 years post qualification. This was a client facing profile. Did several statutory audits, tax audits and even worked on SoX compliance for Wipro. Handled various areas including Revenue, JE, and other significant and high risk areas. Later was also incharge and was leading team on outstation audits. Was also actively involved in preparation of audit documentation as per the firm's methodology and relevant standard of auditing

First year of articleship where i was involved in computing personal taxation, internal audit of Unitech Amusement Parks Limited, statutory audit of several other clients and was also actively involved in paper back filing with ITAT etc