Sambrita Seal

As a part of the team that supports member firms of the organization in complying with various regulatory and professional compliance requirements:

• Ensured the quality, integrity, and completeness of data related to clients and related parties in various independence systems of the firm. Support engagement teams in complying with independence policies.
• Ensured that all financial relationships held by professionals and their immediate family members are compliant with the firm’s policies.
• Assessed emerging risks through ongoing research and monitoring of industry trends, proactively addressing potential threats before they materialized into significant issues.
• Collaborated with internal teams to establish robust controls for mitigating operational risks across various business lines.
• Coordinated ongoing efforts to strengthen risk culture
• Consistently applied a base of knowledge to matters that arise and identify and resolve exceptions to policies and professional standards in a timely manner
• Championed a culture of proactive risk management within the organization, fostering an environment where engagement teams and other internal team members recognized their responsibilities in maintaining effective controls.
• Ensured adherence to regulatory requirements by conducting regular reviews of org charts of clients of the organization.