Smriti Tandon
Delhi
Summary
Seasoned enterprise risk professional with over eight years of experience, including roles at leading Big Four firms and a major American bank. Proven track record of leading Risk and Assurance engagements across diverse sectors such as Banking, IT, Healthcare, Pharma, Energy, and E-commerce. Skilled in conducting risk-based internal audits, leading SOX compliance programs, and monitoring legal compliance. Adept at leveraging automation and dashboarding tools to enhance data visualization, streamline reporting processes, and support data-driven decision-making.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Manager
PwC
Gurgaon
03.2025 - Current
- Validated global outsourcing policies for a leading e-commerce giant, focusing on control effectiveness across key HR and vendor management domains, including recruitment and hiring, payroll, onboarding, health and safety, physical security, and contract compliance, ensuring alignment with regulatory requirements and local laws.
Senior Independent Testing Specialist
Wells Fargo
Bangalore
07.2023 - 03.2025
- Identified the key risk areas and contributed to the planning of audit engagements, and collaborated with internal stakeholders to communicate the audit scope and approach.
- Conducted design assessments, created control test scripts, and carried out tests to measure control performance.
- Documented control testing artifacts and tracked findings effectively.
- Evaluated the effectiveness and appropriateness of responses implemented to address noted issues.
- Actively communicated the key findings and events to senior management.
Senior Associate
KPMG
Gurugram
09.2021 - 07.2023
- Independently conducted walkthroughs to understand the business process and identify the associated risks, gain an understanding of business policies, processes and procedures.
- Performed Test of Design (TOD) and Test of Operating Effectiveness (TOE) of controls, ensuring alignment with test procedures/control description mentioned in Risk and Control Matrices (RCM) while ensuring that the audit is risk based and is executed according to audit policies, methodologies and guidance.
- Regularly interacted with client representatives and KPMG US team to discuss the queries raised by the team members, ongoing requirements of the project and progress made on the engagements.
- Evaluated internal controls over financial reporting for entities requiring Sarbanes-Oxley compliance through integrated audit.
- Performed first level quality assurance reviews on the work performed by team members.
- Assisted in control designing, tracking and monitoring where the controls were determined to be inadequate.
- Sectors: Energy, Apparel, Healthcare & Pharma, Bank
- Rewards and Recognition: Kudos Award and Rising Star Award
Associate
EY
Gurugram
10.2016 - 09.2021
- Conducted process walkthroughs, created a process flow chart, and developed and implemented a risk-based audit program (scoping, planning, and execution) to identify and assess the risks arising from inadequate or failed internal controls and processes.
- Evaluated the adequacy and effectiveness of policies, procedures, processes, and internal controls to determine how well the standards adhered to best practices.
- Communicated the effectiveness of controls and demonstrated success in influencing the business to formulate, update, and implement processes/procedures where issues were identified.
- Monitored the implementation of audit recommendations, tracked progress, and provided support to ensure effective resolution of identified issues.
- Assisted in developing a Power BI dashboard for ongoing monitoring of the progress of audits and exceptions identified.
- Explained risk and compliance concepts and client requirements to executives by imparting regular training while successfully leading a team of eight members and acting as a subject matter expert for the audit engagement.
- Accomplishments: Multiple SPOT Awards.
Education
MBA - Finance
Narsee Monjee Institute of Management Studies
2019
Bachelor in Commerce (Honors) - Accounting and Finance
University of Delhi
2013
Skills
- Risk Identification and Risk Assessment
- Business Process Analysis and Improvement
- Control Testing
- Stakeholder management
- Team Leadership
- Enterprise Risk Management
- Risk reporting
- Data Analysis
- Risk and Control Self-Assessment (RCSA)
- Internal Audit
- Risk Management
- Workiva
- Dynamics
- MS Visio
- PowerBI
Certification
- Currently pursuing CIA from the Institute of Internal Auditors of America
Languages
English
Hindi
Timeline
Manager
PwC
03.2025 - Current
Senior Independent Testing Specialist
Wells Fargo
07.2023 - 03.2025
Senior Associate
KPMG
09.2021 - 07.2023
Associate
EY
10.2016 - 09.2021
MBA - Finance
Narsee Monjee Institute of Management Studies
Bachelor in Commerce (Honors) - Accounting and Finance
University of Delhi
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