DIVYADARSSINI R K
Risk and Compliance Auditor
Bengaluru
Summary
To pursue a challenging role in a dynamic organization where I can leverage and continuously enhance my skills, contributing effectively to business goals while evolving into a well-rounded professional with strong analytical and functional capabilities.
Overview
13
13
years of professional experience
6
6
years of post-secondary education
3
3
Languages
Work History
Senior Associate Vice President
Wells Fargo International Solutions Private Limited
05.2021 - Current
- Performed walkthroughs to understand business processes, control changes, and associated risks across processes and applications.
- Evaluated end-to-end procedures to assess the design and operating effectiveness of financial forecasting controls, as per COSO, SOX, Internal Control Policy, and EUCT/Model Risk Policy.
- Assessed control design effectiveness, identified gaps, and provided guidance for control implementation in collaboration with process owners and managers.
- Conducted control rationalization to remove redundancies and ensure an effective change management process is in place.
- Performed SOX compliance testing for design and operational effectiveness; provided feedback and developed remediation steps for identified control deficiencies.
- Executed IT General Controls (ITGC) testing across areas such as access management, change management, and system development lifecycle.
- Maintained and updated Control Inventory and Risk and Control Matrix (RACM) in alignment with internal control policies.
- Prepared and reviewed process flowcharts and narratives; provided feedback to ensure documentation accuracy and completeness.
- Led interactions with Internal Audit, External Audit, and Governance & Oversight (G&O) teams; coordinated audit requests and provided control assessment insights.
- Reviewed internal policies and CMOR requirements regularly; conducted training sessions to educate the team on updates and enterprise-wide changes.
- Supported identification and logging of issues by process owners; monitored and guided the remediation process to closure.
- Drove process efficiency and automation within the risk and control framework; developed Business Requirement Documents (BRDs) for technology solutions.
- Collaborated with BCM, CMOR, RCSA, COSO, and Internal Audit teams to ensure compliance and promote a strong internal control environment.
Team Lead
StateStreet Mumbai Pvt Ltd
12.2018 - 05.2021
- Conduct walkthroughs to gain a thorough understanding of business processes, associated risks, and the design of internal controls.
- Evaluate end-to-end procedures to assess the design and operating effectiveness of internal controls in accordance with SOX and COSO requirements.
- Identify critical risks, control gaps, and key controls within processes; assess control design adequacy and alignment with risk exposure.
- Analyze sampling methodology and select appropriate samples for testing based on population size, risk level, and control type.
- Communicate testing status, document requests, and clarifications with stakeholders; provide feedback on the efficiency and effectiveness of control design and risk mitigation.
- Articulate testing conclusions clearly, including identification of control gaps and evaluation of operating effectiveness.
- Support stakeholders in drafting precise control language, performing control rationalization, and developing remediation plans aligned with regulatory and internal standards.
Senior Auditor (Wealth and Asset Management)
Ernst & Young LLP
07.2012 - 12.2018
- Completed a three-month secondment with Ernst & Young LLP, Edinburgh (17 Feb 2018 – 16 May 2018), working on audits for Mutual Funds, Real Estate Funds, and Corporate Clients.
- Conducted process walkthroughs both onsite at the Edinburgh office and remotely with the Mumbai team via audio conferencing.
- Performed Test of Details for a corporate audit at the client’s location, engaging regularly with the client's finance leadership and coordinating through weekly calls with the Fund Administrator and client for mutual fund audits.
- As a Senior in EY GDS, executed various audit procedures including Test of Details and Analytical Procedures across financial statement line items prepared under GAAP and IFRS for clients in the Mutual Funds, Investment Trusts, and Private Equity sectors.
- Managed end-to-end audit responsibilities including planning, execution, and conclusion, using a risk-based approach to determine control vs. substantive testing strategies.
- Performed operating effectiveness testing of controls in accordance with SOX compliance requirements.
- Delivered training sessions to staff and team members on EY audit methodology (GAM) and tools including EY Random, EY Micro Start, as well as basic Excel and PDF tools.
- Maintained team accountability by ensuring timely completion of high-quality audit deliverables and keeping team members focused on objectives.
Education
BACHELOR OF BUSINESS MANAGEMENT (BBM) -
SNMV CAS
01.2009 - 01.2012
Higher Secondary - undefined
Kikani Higher Secondary School
01.2007 - 01.2009
SSLC - undefined
Corporation Higher Secondary School
01.2006 - 01.2007
Skills
- SOX Compliance Testing
- SOC 1 & SOC 2 Testing (System and Organization Controls)
- ITGC Testing
- IT Automated Control Testing
- Third-Party Vendor Risk Assessment & Due Diligence
- Issue Management & Remediation Tracking
- Policy & Procedure Review and Gap Analysis
Achievements
- Recipient of Golden Beam award for living EY values.
- Received Bravo award during EY UK assignment for quality work
- Automated quarterly control test results reporting and stakeholder communication using SharePoint and Power BI, resulting in a time savings of over 200 hours annually.
Timeline
Senior Associate Vice President
Wells Fargo International Solutions Private Limited
05.2021 - Current
Team Lead
StateStreet Mumbai Pvt Ltd
12.2018 - 05.2021
Senior Auditor (Wealth and Asset Management)
Ernst & Young LLP
07.2012 - 12.2018
BACHELOR OF BUSINESS MANAGEMENT (BBM) -
SNMV CAS
01.2009 - 01.2012
Higher Secondary - undefined
Kikani Higher Secondary School
01.2007 - 01.2009
SSLC - undefined
Corporation Higher Secondary School
01.2006 - 01.2007
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