RICHA DUBEY

• Led RCSA initiatives, assessing and mitigating risks while collaborating with process owners to enhance controls.

• Designed and executed targeted testing to validate control effectiveness, identify gaps, and recommend improvements0.

• Developed incremental testing frameworks for ongoing control validation and compliance monitoring.

• Assessed control design for regulatory compliance and risk management alignment.

• Conducted effectiveness testing to evaluate operational efficiency and reliability of controls.

• Provided independent risk oversight in the second line of defence, collaborating with stakeholders to enhance risk management.

• Delivered recommendations for control enhancements, compliance improvements, and risk mitigation strategies.

• Assisted in evaluating the adequacy of control activities and their alignment with business objectives.

• Provided regular project updates to managers, engagement teams, and clients.

• Conducted thorough reviews of financial and operational data to ensure compliance with regulatory requirements and internal standards.
• Identified and assessed potential risks and quality control issues related to audit and assurance engagements, implementing effective strategies for risk mitigation.
• Collaborated with internal stakeholders to provide guidance on interpretation and implementation of regulatory changes, ensuring ongoing compliance.
• Prepared comprehensive reports, presentations outlining audit findings, recommendations, risk assessments for senior management, regulatory authorities.
• Served as a subject matter expert (SME) on independence audit compliance, offering training and guidance to newly onboarded personnel and engagement team
• Tracked implementation progress of recommendations, finalized exceptions, and collaborated with stakeholders to address concerns and drive improvements.
• Leveraging online research proficiency spanning newsletters, regulatory, legal, and SEC sources (EDGAR), along with LexisNexis, Bloomberg, S&P Capital, Eikon, Pitchbook, IAPD, FINRA and EMMA and more.
• Implemented SOX compliance measures, applying COSO framework principles for robust internal controls, risk management, test of design & effectiveness.
• Analysed audit findings and provided data-driven insights to senior management.
• Provided training and guidance to junior team members on audit methodologies.orated with stakeholders to address concerns and drive improvements.