Summary

Overview

Work History

Education

Skills

PROFESSIONAL ACCOLADES

Timeline

Divya Jain

Mumbai

Summary

An insightful manager and committed financial professional with rich experience in the financial services industry, specializing in Sarbanes–Oxley Act, 2002 (SOX) Compliance, Internal Audit, Internal Financial Controls (IFC), and Regulatory & Compliance Audits. Skilled in driving operational excellence through effective leadership, employee motivation, and strong policy implementation, with a proven ability to align business objectives with regulatory requirements, industry best practices and market trends

Overview

years of professional experience

Languages

Work History

Manager

Ernst & Young (EY India)

10.2023 - 07.2024

Managed SOX Compliance engagements for a leading US-based global insurance and financial services organization, ensuring adherence to corporate governance and risk frameworks.
Performed design and operating effectiveness testing across key business developing detailed RCMs, walkthroughs and control documentation aligned with SOX 404 standards.
Partnered with stakeholders to identify process gaps, implement remediation plans and enhance overall control maturity and regulatory compliance.
Delivered high-quality compliance reviews within strict timelines, demonstrating strong analytical, coordination and client-management capabilities.

Risk Advisory - Fusion Resilience

Morgan Stanley

01.2022 - 09.2023

Led the planning, coordination, and execution of the Global Business Resilience (GLBR) and Business Continuity Planning (BCP) initiatives, collaborating with senior management and governance committees to enhance enterprise-wide preparedness.
Conducted tabletop exercises and resilience simulations to assess crisis response capabilities, identify recovery gaps, and strengthen operational readiness across critical global business functions.
Contributed to the development and enhancement of business continuity frameworks, ensuring alignment with corporate governance standards, regulatory requirements, and best practices in resilience management.

Risk Advisory - Internal Audit

Metlife

07.2021 - 01.2022

Independently conducted SOX compliance which involved process mapping and preparation of Risk control matrix framework for business and supporting functions.
Led process walkthroughs and discussions with senior management by performing test of design and test of effectiveness.
Performed Operational risk assessment with established internal control procedures by examining records, reports, operating practices, and documents.
Led discussion with management for reporting failed controls and finalising the observations and action items.

Risk Advisory - Internal Audit | BFSI

BDO India LLP

01.2020 - 07.2021

Conducted SOX Compliance, Internal Audit and Internal Financial Control (IFC) for a large Bank for business and supporting functions.
Independently conducted Compliance audits for various banks & NBFC's which included liasoning with banks top management during the course of project.
Prepared audit reports evaluating the strength and thoroughness of compliance preparations, security policies, user access controls and risk management procedures.

Governance Risk & Compliance Services - Internal Audit | Financial Services

KPMG India

06.2015 - 02.2018

Conducted SOX Compliance by designing risk control matrix (RCM) framework to develop a systematic, disciplined approach to evaluate and improve the effectiveness of risk management.
Performed Internal Audit assignments for large NBFC and Banks for business functions like LAS (Loan against security), Unsecured loans, LAP (Loan Against Property).
Conducted PAN India ISO Audits for a leading NBFC and identified existing potential non-conformities.
Provided Project Management Office (PMO) assistance in setting up of a new housing finance company in India.

Education

Bachelors of Management Studies -

Sydenham College of Commerce and Economics