PRAKHAR GUPTA
Greater Noida
Summary
Results-driven compliance professional with over 9 years of extensive experience in personal independence, firm independence, and regulatory compliance. Proven expertise in managing risk assessments, monitoring employee investments, and ensuring compliance with firm-wide independence policies, and global regulatory frameworks. Adept at implementing control frameworks, conducting training programs, and supporting internal audits to mitigate independence-related risks. Recognized for strong analytical skills, attention to detail, and the ability to collaborate effectively across functions to uphold ethical standards, and promote a culture of compliance.
Overview
9
9
years of professional experience
Work History
Assistant Manager
PricewaterhouseCoopers Professional Service LLP
Gurugram
04.2023 - Current
- Enforced compliance with global and PwC-specific personal independence policies across multiple lines of service.
- Reviewed and assessed the financial interests of employees and partners using firm systems.
- Delivered independence training and awareness sessions to new joiners and practice teams.
- Monitoring of personal independence reports and reporting breaches.
- Provided advisory support for personal investment pre-clearance and restricted lists.
- Liaised with cross-functional teams (Risk, Assurance, Advisory) to ensure independence, compliance, and firm engagements.
- Supported internal and regulatory audits by preparing detailed documentation and reports.
- Contributed to policy updates and process improvements to strengthen compliance frameworks.
- Handled confidential and sensitive information with integrity and professionalism.
- Collaborated with global independence teams to ensure the consistent application of regulatory standards (e.g., ICAI, SEC, PCAOB).
- Reviewing the firm's financial reporting details provided by the finance team.
- Performing monitoring and testing of reports to ensure compliance.
Senior Analyst
Deloitte Support Service Pvt Ltd
03.2022 - 03.2023
- Independently handle end-to-end project management, including stakeholder communications, pipeline management, project prioritization, and project delivery.
- Assist in the development and maintenance of account marketing assets, proposal assets, and onboarding assets.
- Understand, track, and report operational needs of the account.
- Collaborate with other teams to deliver account support services.
- Help account leaders leverage the firm's marketing resources and channels.
- Develop templates, and assist in developing processes for deliverables.
- Ensure the project meets set standards of quality and project requirements.
Supervising Analyst
EY GBS INDIA LLP
03.2016 - 03.2022
- Understanding the scope of services being offered to the client and delivering within the stipulated timeline.
- Closely working with stakeholders, audit committee and GCSP of EY for providing consultation services based on defined parameters for independence checks for ensuring that EY is independent of its audit client and doesn't bear any impermissible issues that could impair our independence.
- Identify potential conflict of interest brought about by doing the assignment.
- Expanded standardized project management techniques such as earned value management to ensure uniform performance such as on time delivery, achieving project deliverables and maintaining budgetary goal.
- Performed quality assurance to meet appropriate standards and facilitate improvement of processes.
Education
Post Graduate Diploma - Management, Finance & Marketing
IMS Ghaziabad
Ghaziabad06.2016
Bachelor of Commerce - Finance
S.S Degree Collages
Kanpur03.2012
Skills
- Personal independence compliance
- Internal control framework
- Business research
- Risk management
- Client management
Awards
EY GBS INDIA LLP, Awarded with 'Spot Award' in the month of October 2016, October 2017 and December 2018.
Languages
- English
- Hindi
Timeline
Assistant Manager
PricewaterhouseCoopers Professional Service LLP
04.2023 - Current
Senior Analyst
Deloitte Support Service Pvt Ltd
03.2022 - 03.2023
Supervising Analyst
EY GBS INDIA LLP
03.2016 - 03.2022
Post Graduate Diploma - Management, Finance & Marketing
IMS Ghaziabad
Bachelor of Commerce - Finance
S.S Degree Collages
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