Nitesh Mangtani

• Performed SOX-aligned control testing (TOD and TOE) across operational and compliance processes in line with ICFR requirements.
• Evaluated the design and operating effectiveness of controls to identify gaps, risks, and improvement opportunities.
• Conducted process walkthroughs and developed Risk and Control Matrices (RCMs) for audit engagements.
• Prepared detailed audit workpapers and documentation in accordance with internal audit standards.
• Identified control deficiencies and collaborated with stakeholders on issue remediation and closure validation.
• Tracked remediation status, and ensured timely resolution of audit observations.

Key Achievements:

• Automated transaction testing workflows, reducing manual effort by 40%.
• Eliminated recurring control deficiencies, improving audit outcomes and reducing repeat findings.
• Trained and supported new team members, maintaining culture of collaboration.
• Implemented process improvements that led to significant time savings and increased accuracy in deliverables.

• Supported the FICC (Fixed Income, Commodities, and Currencies) risk program through control evaluation and testing.
• Executed evidence-based control testing, aligned with operational risk frameworks.
• Developed and executed testing scripts to assess control effectiveness, and risk exposure.
• Documented audit findings, and supported issue remediation tracking and validation.
• Collaborated with risk and business stakeholders to strengthen control governance frameworks.

Key Achievement:

• Enhanced control testing coverage, and improved consistency in evaluation procedures.
• Developed strong relationships with stakeholders, ensuring clear communication and alignment on project objectives.

• Conducted First Line of Defense (FLOD) control testing across Retail Banking, US Mortgages, and Cards.
• Designed and executed monitoring controls aligned with enterprise risk frameworks.
• Evaluated control effectiveness, and identified key operational and financial risks.
• Performed process walkthroughs and compliance reviews for risk assessment.
• Documented monitoring outcomes in internal risk systems, and supported issue resolution activities.
• Promoted enterprise-level risk management practices and helped instill strong culture focused on protective policies and procedures.

Key Achievement:

• Automated monitoring activities, improving efficiency, and reducing manual dependency.

• Supported ICFR testing and compliance monitoring for BFSI clients.
• Performed quality assurance reviews for mortgage underwriting processes.
• Ensured adherence to U.S. mortgage regulations (Fannie Mae & Freddie Mac).
• Assisted in preparing audit documentation and control testing evidence.

Key Achievement:

• Improved process efficiency by 20% through automation of data validation workflows.

• Executed capital market transactions, and ensured compliance with exchange regulations.
• Maintained adherence to KYC, and regulatory reporting requirements.
• Supported trading operations and maintained transaction compliance with exchange guidelines.

• Verified KYC documentation for CASA account-opening processes.
• Ensured compliance with AML and KYC regulatory requirements defined by the RBI.
• Stayed updated with new compliance guidelines issued by the RBI, and incorporated them into verification processes.

• Managed capital market transactions, including equity and derivatives trades.
• Performed exchange reporting and compliance verification for trading activities.
• Ensured adherence to regulatory trading procedures and KYC norms.