Summary
Overview
Work History
Education
Skills
Hobbies and Interests
Extracurricular Activities
Community Volunteering
Accomplishments
DOB
Timeline
Generic

SHUBHA SONDHI

Mumbai,

Summary

Senior Consultant in Financial Services Risk Advisory with 5 years of progressive experience in Risk-based Internal Audits, Internal Financial Control (IFC) Testing, Compliance Reviews, KYC Remediation, and Regulatory Compliance. Skilled in delivering customized solutions for banks and financial institutions across global markets.

Overview

6
6
years of professional experience

Work History

Senior Consultant

Protiviti
09.2019 - Current
  • Audit and Risk Management:
  • Conducted strategic and risk-based audits for a Tier-1 U.S. Bank, evaluating ERM controls, compliance to Office of the Comptroller of the Currency (OCC) Heightened Standards, and reviewing the effectiveness of risk governance frameworks.
  • Tested internal financial controls (IFC) for a private-sector bank in India, ensuring alignment with RBI standards.
  • Audited a global interbank payment system, enhancing controls for international payment operations.
  • Delivered a mock RBI readiness review for a financial solutions firm, securing a Payment Aggregator License.
  • Compliance and Regulatory Review:
  • Assisted the Internal Audit Risk Governance team in evaluating the effectiveness of the Risk Governance Framework to ensure compliance with OCC standards and risk reporting.
  • Reviewed KYC, AML, and PMLA implementation for financial institutions, focusing on compliance, customer onboarding, and credit assessment.
  • Conducted diagnostic assessments for insider trading compliance, and prepared regulatory Q&A for 15 global jurisdictions.
  • Process Improvement and Data Management:
  • Managed KYC remediation processes and data accuracy for Tier-1 banks in the UK and Australia, ensuring audit efficiency.
  • Conducted quality control checks across workstreams in governance, credit risk, and market risk audits for a tier-1 bank in the U.S.
  • Performed control testing and developed process models using BPM standards and Signavio for a tier-1 bank in Australia.
  • Reviewed data variations and implemented process changes for OCC audit workstreams for a tier-1 bank in the U.S.
  • Training and Leadership:
  • Led a cross-functional team of 10 on KYC remediation and ITGC compliance projects across India and Kenya, focusing on underserved segments.
  • Trained and supervised 8 third-party vendors for branch audits, improving quality for a Tier-1 Indian bank.
  • Conducted Level 1 interviews for KYC remediation projects, ensuring optimal candidate selection.
  • Designed and delivered training sessions, including audit fundamentals and issue validation processes, to improve audit efficiency and collaboration skills.
  • Publications:
  • Authored white papers on management audit and enhancing customer experience through digitization, demonstrating expertise in audit management and digital transformation.

Intern

India Infoline
Mumbai
12.2018 - 02.2019
  • Conducted analysis of Capital markets as well managed a mock portfolio for a customer

Education

Bachelors of Business Administration (BBA) - Finance

Narsee Monjee Institute of Management Studies (NMIMS)
Mumbai
06.2019

Skills

  • Risk-Based Internal Audit
  • Risk Management
  • Regulatory compliance
  • IFC Testing
  • Due diligence
  • Project Management
  • Process Improvement
  • Data Management
  • Quality Control

Hobbies and Interests

  • Swimming
  • Travelling
  • Cycling

Extracurricular Activities

  • State-Level Swimmer, Bhopal, Competed at the state level, earning recognition for performance and dedication in swimming.

Community Volunteering

  • Served as a member of the Public Relations (PR) team, playing a key role in organizing events that attracted a footfall of 10,000 people.
  • Participated in environmental clean-up drives and tree planting initiatives to promote sustainability.

Accomplishments

Recognized with an award for outstanding performance and dedication on a project for a Tier-1 bank in the UK in July 2020, consistently going above and beyond expectations to deliver exceptional results.

DOB

26-03-1998

Timeline

Senior Consultant

Protiviti
09.2019 - Current

Intern

India Infoline
12.2018 - 02.2019

Bachelors of Business Administration (BBA) - Finance

Narsee Monjee Institute of Management Studies (NMIMS)

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