Shruti Gupta
Kanpur
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 for manufacturing, service and banking industries.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Senior Testing Associate
Wells Fargo
09.2021 - 01.2024
- Implemented a comprehensive compliance testing framework, ensuring adherence to industry regulations and company policies
- Led a team conducting data analysis with result driven approach
- Developed and maintained a compliance knowledge base, facilitating quick reference and onboarding of new team members
- Carried out substantive testing across the entire end-to-end report preparation process involving multiple walkthrough calls with stakeholders and presenting findings at Senior Manager level.
- Delivered training sessions for new team members and provided mentorship to enhance the overall performance of the existing team.
- Led a research team in assessing regulatory changes affecting the banking sector, ensuring the organization's compliance.
- Received acclodes for developing and presenting a robust climate risk assessment framework, identifying and prioritizing potential risks associated with changing environmental conditions.
Senior Consultant
Deloitte USI
09.2018 - 08.2021
- Played a substantial role in establishing a fraud risk database encompassing fraudulent schemes.
- Played a key part in numerous investigations related to allegations of potential fraud and corruption and Identifying & suggesting ways for remediation of issues pertaining to revenue recognition, sales and distribution and political or charitable contributions.
- Successfully uncovered a sophisticated fraud scheme, leading to the recovery of substantial financial losses and implementation of preventive measures to strengthen internal controls.
- Part of the team responsible for developing and implementing a fraud awareness training program for employees, reducing the susceptibility to social engineering and internal fraud risks.
- Performed Compliance testing on high complex regulatory submissions to European regulators resulting in reduction and mitigation of regulatory fine.
Internal Auditor
GMR Hyderabad International Airport Limited
11.2017 - 08.2018
- Performed Internal audits and IFC testing covering Finance and operational areas, specifically focusing on tracking revenue leakages.
- Played key role in planning, executing and finalizing audits.
- Performed result oriented data analytics using critical thinking skills that helped in effective decision making at the top management level.
- Carried out invoice verification process checking on completeness, accuracy and genuineness of the Capital and Operating expenditure, particularly high-value transactions and advanced to a supervisory role for the activity.
- Investigated discrepancies identified during audits through transactional level examination that resulted in identifying root cause of the issue.
Audit Assistant
Anil Pariek and Garg
12.2011 - 01.2015
- Part of the audit team carrying out tax and statutory audits of manufacturing company.
- Performed extensive assessments of assets, liabilities and equity to verify accuracy in financial reports.
Education
Chartered Accountant -
Institute of Chartered Accountants of India
IndiaB.Com -
CSJM University
Skills
- Critical Thinking
- Analytical Skills
- Attention to Detail
- Problem Solving
- Interpersonal Skills
- Communication
- Research Skills
- MS Office
- Knowledge of banking products and financial instruments
Certification
- Certified Fraud Examiner (CFE) from ACFE, USA
- Financial Modeling
- Stock Market Analysis course
Accomplishments
- Client Appreciation for the quality of deliverables
- Spot award for playing significant role in issue finding and meeting the stringent timelines for delivering work papers.
- Recognized by Global head for conducting training sessions and mentoring existing team and enhancing team performance.
Timeline
Senior Testing Associate
Wells Fargo
09.2021 - 01.2024
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
Chartered Accountant -
Institute of Chartered Accountants of India
B.Com -
CSJM University
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