Summary
Overview
Work History
Education
Skills
Key Interests
Internship
Interests
Timeline
Generic

Pooja Sharma

Independence Consultant
Gurugram

Summary

Experienced Team Lead with a strong foundation in risk and compliance, serving as a subject matter expert in Ethics & Independence. Skilled in leading process automation initiatives that have significantly improved operational efficiency. Proven track record in project management, consistently delivering valuable insights and promoting effective team collaboration.

Overview

15
15
years of professional experience

Work History

Lead Analyst

EY GDS
02.2022 - Current
  • Overseeing the professional development of counselees by coaching and mentoring them and recommending training to address identified gaps.
  • Organizing periodic training and calibration sessions to enhance team members' understanding of the process.
  • Participating in year-end evaluations for Analysts and Senior Associates.
  • Managing the internal risks of the firm associated with accepting a new client or an engagement or risks associated with any on-going audit / non audit engagement.
  • Identification of potential conflicts of interest of audit team members using pre clearance tool and reporting to audit teams to mitigate the associated risk.
  • Collaborating with onshore teams to comprehend client requirements, project scope, and timelines.
  • Leading a team of 10 professionals focused on final breaches and the open consultation process.
  • Reviewing work papers prepared by the team members ensuring quality and timeliness of all deliverables while providing constructive feedback. Ensuring all work complies with the regulatory requirements and internal policies.
  • Assisting team members in resolving service delivery issues and escalations.
  • Conducting interview and process training for interns.

Supervising Analyst

EY GDS
10.2018 - 01.2022
  • Lead an outreach process wherein we connected with the EY stakeholders with detailed research report relating to risk identification and assessment of announced Mergers/Acquisitions involving EY (“Firm”) audit clients.
  • Facilitated process training to new hires.
  • Reviewed deliverables prepared by Business Associates and Analysts to check and manage the internal risks of the firm.
  • Monitored the Ethics & Independence Compliance Confirmation process for the firm.
  • Managed multiple projects simultaneously while maintaining strict deadlines and high-quality standards.

Analyst

EY GDS
10.2016 - 09.2018
  • Prepared documents for compliance checks by conducting internal and external research (on various external media sources and databases including BoardEx, Factiva, Company InfoGator, Bloomberg and LexisNexis).
  • Summarized the information obtained into concise and accurate reports.
  • Understanding RMS policies determining required actions and making recommendations based on firm guidance.

Research Analyst and Senior Research Analyst

BMR Advisors
05.2014 - 10.2016
  • Enhanced Due Diligence.
  • Conducting research on Politically Exposed Persons (PEP), other individuals and entities utilizing internal, online sources including corporate databases, commercial registries, legal databases, and public media sources.
  • Capturing and summarizing the adverse media news pertaining to non-compliance of Bank Secrecy Act/anti-money laundering (BSA/AML), Foreign Corrupt Practices Act (FCPA), Financial Crimes Enforcement Network (“FinCEN”), OFAC sanctions and Litigation checks.
  • Creating reports in MS Word and PowerPoint using the researched data.
  • Identification the patterns and irregularities in data to detect suspicious activity related to money laundering, terrorist financing and structuring.
  • Preparing and summarizing the findings, including recommendation for further action.
  • Assisting in training new employees on due diligence procedures including research and report writing and performing quality review.
  • Part of team that created database containing cases reported related to money laundering/ bribery/corruption.
  • Developing and maintaining data repository for Politically Exposed Persons (PEPs), their close associates and family members in compliance with AML regulations such as Anti-bribery Act (ABC), US Foreign Corrupt Practices Act, US Patriot Act, BSA.
  • Performing research and creating database for a leading online Entertainment Portal.

Intern

Unicon Securities Private Ltd.
05.2010 - 06.2010
  • I learnt to use the online trading software used by UNICON and Cold calling.
  • I connected with the former clients of UNICON to identify and summarize the reasons of their separation.

Education

MBA - Finance And IT

Jagan Institute of Management Studies
New Delhi, India
04.2001 -

Bachelor of Engineering - IT

Hindu College of Engineering
Sonipat, India
04.2001 -

All India Secondary School Certificate Examination - Non Medical

Shambhu Dayal Modern School
Sonipat, India
04.2001 -

All India Secondary School Examination -

Indian Modern Sr. Sec. School
• All India Secondary School Examination
04.2001 -

Skills

    Team Management

    Independence and compliance checks

    Escalation Handling

    Training and mentoring

    Risk assessment

Key Interests

  • Audio and Video Editing
  • Photography

Internship

Unicon Securities Private Ltd., 05/10 – 06/10, I learnt to use the online trading software used by UNICON and Cold calling., I connected with the former clients of UNICON to identify and summarize the reasons of their separation.

Interests

Photography

Video editing and mixes

Timeline

Lead Analyst

EY GDS
02.2022 - Current

Supervising Analyst

EY GDS
10.2018 - 01.2022

Analyst

EY GDS
10.2016 - 09.2018

Research Analyst and Senior Research Analyst

BMR Advisors
05.2014 - 10.2016

Intern

Unicon Securities Private Ltd.
05.2010 - 06.2010

MBA - Finance And IT

Jagan Institute of Management Studies
04.2001 -

Bachelor of Engineering - IT

Hindu College of Engineering
04.2001 -

All India Secondary School Certificate Examination - Non Medical

Shambhu Dayal Modern School
04.2001 -

All India Secondary School Examination -

Indian Modern Sr. Sec. School
04.2001 -

Similar Profiles

CREATE PROFILE
Pooja SharmaIndependence Consultant