Swati Sahu
Lucknow
Summary
Focused compliance manager bringing 8+ years of experience managing activities, programs and resources to meet client needs. Flexible and adaptable with superior communication, relationship management and influencing skills. Proven history of identifying issues, acquiring data and drawing conclusions to support resolution. Strong aptitude for leading teams to effectively address client needs and implement changes by supporting strategic initiatives. Detailed compliance manager with a proven track record developing policies, training programs and reporting protocol to ensure compliance. Disciplined with strong communication and presentation abilities. Seeking an opportunity with room for growth. Highly-motivated employee with desire to take on new challenges. Strong work ethic, adaptability, and exceptional interpersonal skills. Adept at working effectively unsupervised and quickly mastering new skills.
Overview
12
12
years of professional experience
Work History
Compliance Manager (First Line of Defense)
Johnson Controls
Pune
01.2021 - Current
- Conducted financial, operational, and compliance audits in accordance with professional standards and regulatory requirements
- Identified control deficiencies and recommended corrective actions to improve operational efficiency and mitigate risks
- Prepared detailed audit reports documenting findings, recommendations, and management responses
- Collaborated with management to develop action plans and monitor implementation of remediation efforts
- Assisted with the development of training materials for employees regarding compliance requirements.
- Maintained detailed records of all compliance related activities.
- Collaborated cross-functionally with finance, IT, and audit teams to ensure alignment of control activities and streamline compliance efforts
- Serving as the liaison between the company and external auditors during the annual audit process, providing necessary documentation and explanations.
- Prepared and presented periodic reports to senior management and audit committee on compliance status, control deficiencies, and remediation progress
- Leaded RACM designing, walkthrough with Design gap assessment and completing Test of Design (TOD) along-with Test of operating effectiveness of the above process.
- Provided support in developing strategies for mitigating risks associated with non-compliance.
Consultant – Governance Risk & Compliance Services
KPMG India Services Pvt Ltd.
Noida
09.2019 - 01.2021
- Planning individual audits and preparing the audit plans
- Understanding client business process and evaluating the process gaps
- Understanding and assessing the risks and evaluate the adequacies of the prevalent internal controls
- Performed end to end Internal Financial Control (IFC) review as required under Companies Act 2013
- Identifying areas of system improvement and strengthening controls and preparation of SOPs
- Ensure compliance with internal and external guidelines and polices of the entity as well as the applicable statutory and regulatory requirement
- Covered areas in Internal audit and IFC assignments like P2P, Order to Cash, Inventory Management, Accounts and Finance, Contract Labor, HR and Payroll, Production, Industry specific regulation etc.
Consultant-Internal Audit
Felix Advisory Private Limited
Guragon
01.2018 - 09.2019
- Planned individual audits and prepared corresponding audit plans
- Understanding client business process and evaluating the process gaps
- Assessed and evaluated risks in order to determine the effectiveness of internal controls.
- Conducted comprehensive assessment of Internal Financial Control (IFC) as mandated by Companies Act 2013.
- Identifying areas of system improvement and strengthening controls and preparation of SOPs
- Ensure compliance with internal and external guidelines and polices of the entity as well as the applicable statutory and regulatory requirement
- Covered areas in Internal audit and IFC assignments like P2P, Order to Cash, Inventory Management, Accounts and Finance, Contract Labor, HR and Payroll, Production, Industry specific regulation etc.
- Reviewed existing policies and procedures to suggest necessary improvements.
Audit Associate
Haribhakti & Co.
Mumbai
01.2013 - 09.2014
Education
Certified Public Accountant – CPA USA (Membership not applied yet) -
01.2017
Chartered Accountancy- Final -
01.2012
Master’s in commerce, Jiwaji University, Gwalior -
01.2010
Chartered Accountancy- PCC -
01.2009
Bachelor’s in Commerce, Jiwaji University, Gwalior -
01.2008
Chartered Accountancy- CPT -
01.2007
Senior Secondary from State Board -
01.2005
Skills
- Internal Audit
- SOX Compliance
- Risk Management
- Process Reviews
- Balance Sheet Reconciliation Review (RTR)
- Reporting to higher management
- Internal Financial Controls
- SOX Controls Matrix - RTR, PTP & OTC Process
- Governance
- Microsoft Office applications
- Share-Point Maintenance
Personal Information
Date of Birth: 10/17/88
Accomplishments
- Gold Medalist in B.com from Jiwaji Uninversity
- First Attempt Chartered Accountant & CPA
- Employee of the Month in Johnson Controls
Languages
Hindi
First Language
English
Upper Intermediate (B2)
B2
Affiliations
- Badminton Champion in Jiwaji University
Timeline
Compliance Manager (First Line of Defense)
Johnson Controls
01.2021 - Current
Consultant – Governance Risk & Compliance Services
KPMG India Services Pvt Ltd.
09.2019 - 01.2021
Consultant-Internal Audit
Felix Advisory Private Limited
01.2018 - 09.2019
Audit Associate
Haribhakti & Co.
01.2013 - 09.2014
Certified Public Accountant – CPA USA (Membership not applied yet) -
Chartered Accountancy- Final -
Master’s in commerce, Jiwaji University, Gwalior -
Chartered Accountancy- PCC -
Bachelor’s in Commerce, Jiwaji University, Gwalior -
Chartered Accountancy- CPT -
Senior Secondary from State Board -
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