HITESH RATHOD
Bengaluru
Summary
A certified internal audit professional seeking to learn industry best practices and enhance my skills to come up with value-add solutions to help organizations meet its objectives.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Senior Assistant Vice President (Internal Audit)
Wells Fargo
01.2021 - Current
- Participate in audit projects covering key Financial Regulatory Reporting risks and Investment Banking line of business from planning to reporting phase across US, EMEA and APAC regions
- Hold and participate in brainstorming meetings with Audit Executives and Directors to finalise audit scope
- Evaluate internal controls and recommend improvements to enhance their efficiency and effectiveness
- Collaborate with cross-functional teams to address audit findings and implement corrective actions
- Perform issue validation testing to verify whether previously identified issues align with corrective action plan
- Prepare audit reports detailing findings, conclusions, and recommendations for management
- Train and mentor junior auditors to enhance their audit skills and knowledge
- Foster strong relationships with key shareholders ensuring their continued support and confidence in the company's direction
Team Lead
StateStreet Corporate Services
08.2020 - 01.2021
- Perform testing on key regulatory reports to ascertain whether they are in compliance with regulatory requirements
- Assist with performance of risk assessments to identify areas requiring detailed testing
- Engage key business partners to facilitate review and communicate end results
Controls Manager
JP Morgan Chase & Co
11.2018 - 08.2020
- Conduct walkthroughs on key controls impacting the financials and assess whether they are designed effectively
- Perform control testing in accordance with SOX Act 2002 Sec 404
- Prepare process flowcharts using MS Visio for COSO reliance processes
- Maintain applications inventory and co-ordinate testing of IT general controls
- Coordinate with business to agree on failures and deficiencies
- Assist with firm wide ad-hoc projects involving risk assessment, benchmarking of SOX controls and LOB packages for senior management
Advanced Audit Associate
EY
07.2014 - 01.2016
- Perform substantive audit procedures for Banking & Capital Market and Asset Management clients in accordance with EY Global Audit Methodology
- Perform control testing in accordance with SOX Act 2002 Sec 404
- Co-ordinate with audit teams from different geographies on audit work and timelines
- Review work performed by audit associates to ensure high quality of work papers
Education
Master of Business Administration (MBA) - Finance
Christ University
2018
Bachelor of Commerce (B.com) - Accounting and Auditing
Bangalore University
2014
Skills
- Audit Planning
- Internal Controls
- Regulations and Compliance
- Internal Audit
- Report Writing
- Issue Validation
- SOX Compliance
- Stakeholder Management
Certification
- Certified Internal Auditor (The Institute of Internal Auditors)
- Faster Payments Network Certificate (WesPay)
- Forensic Accounting and Fraud Examination (West Virginia University)
- Global Derivatives Market and Risk Management (EY)
Timeline
Senior Assistant Vice President (Internal Audit)
Wells Fargo
01.2021 - Current
Team Lead
StateStreet Corporate Services
08.2020 - 01.2021
Controls Manager
JP Morgan Chase & Co
11.2018 - 08.2020
Advanced Audit Associate
EY
07.2014 - 01.2016
Bachelor of Commerce (B.com) - Accounting and Auditing
Bangalore University
Master of Business Administration (MBA) - Finance
Christ University
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