Shruti Gupta
Kanpur,UP, India
Summary
Seasoned professional with proven track record of achievement and client appreciation. 4+ years of experience in handling compliance testing of regulatory reports of a renowned multinational bank. Total of 6+ years of experience in Compliance Audit, internal audits, fraud investigations, statutory audit performed for manufacturing, service and banking industry.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Senior Testing Associate
Wells Fargo
Hyderabad
09.2021 - Current
- Performed compliance testing on complex regulatory submissions to U.S. regulators, covering a spectrum of moderate to high complexity.
- Led and participated in a team responsible for conducting data analysis and substantive testing across the entire end-to-end report preparation process.
- Conducted and guided walkthrough calls with key stakeholders.
- Recognized and documented observations and issues identified as crucial by stakeholders for the purpose of remediation.
- Offered recommendations to streamline and enhance the effectiveness of the report preparation process, aiming for improved efficiency and overall effectiveness.
- Formulated and deliberated on reporting observations and issues, subsequently presenting them to key stakeholders.
- Delivered training sessions for new team members and provided mentorship to enhance the overall performance of the existing team.
- Coordinated work with various teams to solve problems and improve efficiency for team
- Worked within a matrixed environment and managed onshore leadership.
Senior Consultant
Deloitte USI
Hyderabad
09.2018 - 08.2021
- Compliance Testing: Performed compliance testing on regulatory submissions to European regulators, covering a spectrum of moderate to high complexity
- Participated as part of team to conduct substantive testing throughout complete end-to-end report preparation process.
- Developed clear and concise documentation and templates for testing procedures, concluding findings, and compiling comprehensive reports.
- Presented finalized reports to Managers and Senior Managers .
- Maintained regular interaction with clients to discuss and conclude identified observations and issues.
- Possessed robust understanding of financial instruments and products.
- Concurrently engaged in substantial firm contribution projects aimed at enhancing team performance and efficiency.
- Fraud Investigation: Played a role in establishing a fraud risk database encompassing fraudulent schemes across various industries and sectors.
- Participated in numerous investigations related to potential allegations of fraud, bribery, and corruption, addressing issues such as revenue recognition, sales and distribution, and political or charitable contributions.
Internal Auditor
GMR Hyderabad International Airport Limited
Hyderabad
11.2017 - 08.2018
- Performed internal audits and IFC testing of financial and departmental operations with specific focus on revenue. This encompassed comprehensive understanding of processes, ensuring adherence to regulatory norms, and conducting detailed process walkthrough.
- Developed auditing program to address risks and evaluate regulatory requirements
- Documented recommendations to improve internal controls
- Performed strategic planning, execution and finalization of audits using data analytics and critical thinking skills
- Drafted Internal Audit Reports, facilitated discussions, and subsequently completed reports for presentation in Audit Committee Meetings.
- Independently supervised complete invoice verification process for both Operating and Capital expenses, particularly for high-value transactions.
- Investigated discrepancies identified during auditing process through transaction and email reviews, aiming to reveal any unethical discussions or unwarranted conversations related to payment process.
- Prepared and presented revenue process flowchart to stakeholders.
- Handled supervisor duties when manager was unavailable or out of office
Audit Assistant
Anil Pariek and Garg
Kanpur
12.2011 - 01.2015
- Worked as audit assistant and subsequently audit lead. Gained extensive exposure to financial, regulatory, and legal aspects of large organizations.
- Industrial training focused on tax and statutory audit of manufacturing concern.
- Performed auditing work in accordance with rigorous auditing standards and principles
- Performed extensive assessments of assets, liabilities and equity to verify accuracy in financial reports
- Analyzed trends in financial data to investigate fluctuations
- Reviewed general ledger transactions to identify errors or irregular entries
- Identified various risks and errors to propose corrective action to decision makers
Education
Certification - CFE
Association of Certified Fraud Examiner
USA05.2019
Chartered Accountant -
Institute of Chartered Accountants of India
India05.2017
B.Com -
CSJM University
Kanpur, UP, India03.2013
Skills
- Proficient knowledge of banking products and financial instruments
- Advanced critical thinking, robust analytical, and problem-solving abilities
- Effective communication and interpersonal skills
- Outstanding attention to detail and accuracy
- Proficiency in MS Office applications—Excel, PowerPoint, and Word
Certification
- Financial Modeling
- Data Analytics
- Stock Market Analysis course
Accomplishments
- Client Appreciation for the quality of deliverables and level of understanding about the entity.
- Spot award for playing significant role in issue finding and meeting the stringent timelines for delivering work papers. The technical skills and knowledge of the client were appreciated.
- Recognized by Global head for taking training sessions of new hires and mentoring existing team to maximize team performance.
Hobbies
- Yoga
- Hiking and discovering new destinations
- Reading Books
- Exploring diverse cuisines
Timeline
Senior Testing Associate
Wells Fargo
09.2021 - Current
Senior Consultant
Deloitte USI
09.2018 - 08.2021
Internal Auditor
GMR Hyderabad International Airport Limited
11.2017 - 08.2018
Audit Assistant
Anil Pariek and Garg
12.2011 - 01.2015
Certification - CFE
Association of Certified Fraud Examiner
Chartered Accountant -
Institute of Chartered Accountants of India
B.Com -
CSJM University
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