Harsha Bothra

Key Responsibilities and Achievements: Business Processes Audited:

Senior – FS Banking Audit Team (UK Retail Banking)

KPMG Global Services.

As a member of the Financial Services Banking Audit Team, I specialized in the audit of UK-based retail banks, including group audits, subsidiaries, and Special Purpose Vehicles (SPVs). My responsibilities encompassed the full audit lifecycle, from planning through to final disclosures, with a strong emphasis on risk assessment, team leadership, and process optimization.

• Audit Planning & Risk Assessment: Conducted comprehensive risk assessments during the initial planning phase, including planning analytics, review of board minutes, business understanding, and management inquiries.
  Gained proficiency in updated audit methodologies, and ensured their effective application across engagements.
• Client Engagement & Execution: Led the audit of a new client (Group Plc) from scratch, navigating unfamiliar systems and processes without prior documentation. Successfully completed the engagement from risk assessment to disclosure, earning commendations from the UK Manager, Partner, and EQCR.
  Maintained transparent and timely communication with partners regarding audit progress, and flagged concerns proactively.
• Process Walkthroughs & Control Evaluation: Conducted detailed walkthroughs of assigned business processes, identifying key risk points, and evaluating the design and operational effectiveness of internal controls.
  Performed substantive testing to obtain audit evidence supporting financial statement assertions.
• Team Leadership & Coaching: Acted as in charge for multiple engagements, guiding audit team members to ensure alignment with project plans and deadlines.
  Facilitated coaching sessions for KGS team members on key audit updates and methodologies.
  Supported team members in setting realistic performance goals, and fostered a culture of open feedback and continuous improvement.
• Client Communication & Issue Resolution: Coordinated client calls for PBM requests and query resolution, ensuring timely and effective communication.
  Addressed team queries related to client discussions and reporting instructions (RI) with clarity and promptness.
• Technical Proficiency and Innovation: Worked across diverse client systems, including DPR, LeaseSoft, and PanCredit.
  Utilized data-snipping techniques and AI tools to enhance documentation quality and efficiency.
  Prepared comprehensive documentation, including Business Process Memos, Risk Assessment Workpapers, Control Procedure Workpapers, and Substantive Procedure Workpapers.
• Recognition and Awards: Received two Kudos Awards for exceptional performance and positive feedback.
  Recognized for clear and well-structured walkthrough documentation, including flowcharts.

Business Processes Audited:

• Loans to Customers
• Expected Credit Losses (ECL)
• Deposits

• Responsible for process understanding, risk identification and control testing of company's business processes namely- Accounts and Finance, Sales, Statutory Compliances, Purchases and HR of an Internal audit of a company in tea manufacturing.
• Responsible for control testing, substantive testing and analytical review of financial statements. Performed audit procedures on Revenue from operations, investments, fixed assets and trade receivables of a statutory audit of a company in chemical manufacturing.
• Responsible for modus operandi of booking, cancellation and allotment of flats, revenue allocation between owner and developer. Prepared report of revenue allocation between owner and developer block wise in a Sales Revenue Audit.
• Prepared income tax computations and filing of return, tax audit of companies and partnership firms and LLPs.