Suranjeeta Sen Gupta
Summary
Results-driven professional with extensive experience at JP Morgan Chase & Co, specializing in Business Process audits and SOX compliance. Demonstrated success in leading audits that enhance data integrity and system functionality. Expertise in conducting system functionality checks, data quality assessments, and managing access and change controls, resulting in improved operational efficiency.
Overview
6
6
years of professional experience
Work History
JP MorganChase & Co
06.2022 - Current
- Led comprehensive audits from planning to reporting, ensuring thorough control scoping.
- Executed issue validation for 34,000 drifts linked to Teradata servers.
- Collaborated with managers and stakeholders to finalize audit scope.
- Reviewed controls tested and documented by audit support staff.
- Mentored staff on business processes, in-scope controls, and testing methodologies during audits.
- Supported clients and stakeholders with applications in retail sector at JP Morgan.
- Participated in Design and Operating Effectiveness testing for in-scope applications.
- Managed documentation of key IT control issues throughout their lifecycle.
Operational Risk Controller - ENO
Credit Suisse
10.2021 - 06.2022
- Supported clients and stakeholders in IT applications and controls related to Sarbanes-Oxley (SOX) 404 for Credit Suisse.
- Conducted design and operating efficiency testing of IT General Controls (ITGCs).
- Trained IT Operational Risk Managers and control owners on SOX lifecycle processes.
- Documented and managed issues pertaining to key IT controls throughout their lifecycle.
Ernst & Young
06.2019 - 09.2021
- Led multiple engagements from EY GDS perspective, ensuring alignment with objectives.
- Mentored and trained newly hired employees on audit procedures and client-specific roles.
- Conducted internal and external audits to assess compliance and effectiveness.
- Executed IT audit change testing, SOD reviews, and application control testing, including validation and authorization.
- Performed independent control testing under SOX 302 and 404 guidelines to evaluate design effectiveness.
- Assessed security configurations for technologies including Windows, AS400, Oracle, and SQL.
- Carried out SOC audits involving creation and testing of SOC 1, SOC 2, and SOC 3 reports.
- Executed audits in accordance with AICPA SSAE 18, SSAE 16, and CSAE standards.
Education
B.Tech - Electronics & Telecommunications
IIIT
01.2019
Skills
- System functionality testing
- Data integrity testing
- SOX and SOC compliance
- IT general controls
- Change management
- Access control
- Operations management
- Segregation of duties reviews
- IT application controls
- Data reconciliation
- Edit checks and validation
- System configuration
- User authorization
- Database testing
- Windows operating systems
- AS400 platform expertise
- Oracle database management
- SQL programming skills
- ISO 27001 compliance
- PCI DSS standards adherence
- SSAE 16 and SSAE 18 audits
- CSAE compliance standards
- HIPAA regulations knowledge
- ERP systems proficiency
- PeopleSoft applications expertise
- SAP software skills
- Microsoft Excel proficiency
- Microsoft Word proficiency
- Microsoft PowerPoint skills
Accomplishments
- Received 34 PEER Awards at JP Morgan
- Awarded 3 Spot Awards in EY during 10/19, 12/20, and 06/21
- 2 BRAVO/CITATION AWARDS awarded by the EY US Senior Manager for exemplary service and leadership
- Awarded a Year-End Award in 07/21 for contributions in achieving the 1 million hour mark in TR in FY21
Learning Certifications
- Information Security Awareness - ISO 27001: 2013, Udemy
- Microsoft Excel 2013 Certification, Udemy
- SQL 2013, Udemy
Projects
- Leading the project and working group from a LOB standpoint, where the team is creating a new risk control matrix on specific platform-based applications
- Dashboard representation of the YTD financial report
Sector Experience
- Investment Banking
- Logistics
- Credit Risk Assessment
- Retail
- Healthcare
Hobbies and Interests
- Acting
- Vlogging
- Gaming
- Reading
- Travel
Timeline
JP MorganChase & Co
06.2022 - Current
Operational Risk Controller - ENO
Credit Suisse
10.2021 - 06.2022
Ernst & Young
06.2019 - 09.2021
B.Tech - Electronics & Telecommunications
IIIT
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