Shlok Gupta
Gurugram
Summary
Seasoned Risk & Compliance professional with 8 years of experience in auditing, internal controls, and regulatory compliance across global consulting environments. Proven expertise in identifying operational risks, streamlining compliance processes, and conducting end-to-end risk assessments aligned with industry standards and evolving regulatory frameworks. Now seeking to transition into a leadership role focused on enterprise-wide risk strategy and digital compliance transformation.
Overview
8
8
years of professional experience
Work History
Risk & Compliance Specialist
Accenture Solutions Pvt. Ltd.
09.2020 - Current
- Led global contract compliance reviews across business-critical processes (P2P, O2C, R2R) to identify gaps and strengthen controls pre–go-live
- Managed end-to-end risk reviews for delivery operations, including go-live, standard, and on-demand audits
- Conducted risk assessments for new deals, defining audit scope and prioritization based on business impact
- Supervised fieldwork and documentation, leading a team of analysts to ensure audit quality and regulatory alignment.
- Uncovered control deficiencies in vendor payment and master data processes, driving timely remediation
- Delivered clear, actionable audit reports to internal leadership and global stakeholders.
- Conducted SME-led training sessions to build team expertise in governance, risk, and compliance
- Led & created training programs to handle system-wide issues and maintain compliance.
Consultant – Internal Audit Services
Protiviti India Member Firm
01.2019 - 08.2020
- Delivered internal audits for clients in banking, manufacturing, hospitality, and logistics, improving operational efficiency and compliance
- Built and tested Internal Financial Control (IFC) frameworks on-ground for telecom leaders in the Middle East
- Developed risk and control matrices and authored SOPs for complex operational processes.
- Recommended and implemented control improvements, enhancing organizational governance frameworks
Analyst
KPMG India – Governance, Risk and Compliance Services
05.2017 - 08.2018
- Conducted risk-based audits for AIFs, PMS, and AMCs, ensuring alignment with SEBI and RBI regulations
- Tested IFC frameworks for top-tier BFSI clients, strengthening financial controls
- Executed due diligence checks on mutual fund distributors in compliance with AMFI and internal guidelines
- Supported regulatory audits covering STP, AML, and other critical financial compliance areas
Education
Masters of Commerce -
H.R. College of Commerce & Economics
Mumbai, India05.2019
Bachelors of Commerce -
H.R. College of Commerce & Economics
Mumbai, India08.2017
Honours Programme -
H.R. College of Commerce & Economics
Mumbai, India08-2017
Skills
- Internal Auditing & Risk Assessment
- Governance, Risk & Compliance (GRC)
- Internal Financial Controls (IFC)
- Risk-Based Operational Audits
- Policy & SOP Development
- Team Leadership & Supervision
- Enterprise Risk Strategy
- Data-Driven Risk Insights
- Stakeholder Reporting
- Regulatory Compliance (SEBI, RBI)
- Contract & Process Compliance
- Training & Capability Building
Achievements
- Honoured with the Operations India Encore Award in the Star of Business category for three consecutive quarters: Q2 FY24 and Q1 FY25
- Commended for consistently delivering the Best Audit Reports for 5 consecutive quarters
- Recognized by the Accenture CEO and Global Risk & Compliance Lead for creating a risk-based training program impacting 10,000+ payment process employees globally
- A national-level cricketer, proudly represented Uttar Pradesh at the National Games for five consecutive years
- Selected for the India U-16 and U-19 Cricket Team Squads, reflecting a high level of sporting excellence and discipline
Timeline
Risk & Compliance Specialist
Accenture Solutions Pvt. Ltd.
09.2020 - Current
Consultant – Internal Audit Services
Protiviti India Member Firm
01.2019 - 08.2020
Analyst
KPMG India – Governance, Risk and Compliance Services
05.2017 - 08.2018
Masters of Commerce -
H.R. College of Commerce & Economics
Bachelors of Commerce -
H.R. College of Commerce & Economics
Honours Programme -
H.R. College of Commerce & Economics
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