Vaishock Jha
Bengaluru
Summary
Senior Manager with 14+ years of experience in Risk and controls (ICFR). Accomplished management professional adept at building high-performing teams. Proven ability to drive cross-functional collaboration and implement innovative solutions to complex business challenges. Committed to delivering results that exceed expectations while maintaining a focus on continuous improvement and sustainable growth.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Senior Manager
S R Batliboi & Associates (EY India)
Bangalore
08.2019 - Current
- Lead Operations audit from India to co-Ordinator with other functional team across globe
- Assisted in the planning and execution of financial statement audits for major banks shared service centre, focusing on the evaluation of internal controls over financial reporting (ICFR) in accordance with PCAOB standards.(SOX)
- Prepared detailed reports outlining any issues or deficiencies identified during the audit process.
- Evaluated existing systems of internal control for accuracy and completeness.
- Conducted walkthroughs and performed detailed testing of key control activities to assess the design and operating effectiveness of internal controls
- Collaborated with cross-functional teams to identify control deficiencies, evaluate their potential impact on financial statements, and recommend appropriate remediation measures
- Worked closely with senior team members to ensure timely completion of audit engagements while adhering to quality standards and deadlines according to the Project Insight requirements
- Identified areas of improvement within existing operations through process analysis and benchmarking studies.
- Collaborated with other departments to review existing processes and procedures and recommend improvements.
- Created procedures for monitoring and evaluating the effectiveness of internal controls.
- Developed training programs for staff on topics related to internal controls.
- Evaluated new technologies or products as part of a review process to ensure they meet established standards.
Controls Manager
J P Morgan Chase
Bangalore
06.2018 - 08.2019
- Performed walkthrough and assisted critical lines of business with process mapping and risk identification, designing controls framework and testing controls
- Compared controls across products for optimization, consistency and closure of any gaps that are found
- Assisted in implementing CCB Credit forecasting framework around risk identification
- Provided expertise to risk and control partners as well as support for audit requests
- Liaison with upstream and downstream partners to review control evidences for RCSA and SOX
- Supported Action Plans both internally and externally from issue opening to closure
- Presented findings, recommendations and presentations to Senior Management around Risk Appetite and CECL process
- Effectively mentoring other team members to help them develop their risk management skills and domain knowledge.
Audit Associate
Northern Operating Services
Bangalore
07.2017 - 05.2018
- Worked on multiple internal process to understand process and risk and controls mapped
- Worked on IT SOC for 3 quarters and issued report to management on operating effectiveness
- Worked with UK and US internal audit team and helped team to perform audit in process outsourced in Bangalore and issued final report to teams
- Lead BCP audit and reported to management directly for any issues noted
- Worked on SOC/SOX projects couple of quarters.
Assistant Manager
EY GDS
Bangalore
11.2009 - 06.2017
- Extensive audit experience which includes planning, execution, and reporting of financial statements for Banking and capital markets
- Lead team of 8 in India and US and worked on Broker dealer and Retail banking clients
- Have lead, managed, and coordinated multiple engagements consisting of other seniors and associates through project management, directing fieldwork, supervising performance and providing on job feedback
- Performing walkthrough of business process, reviewing risk control matrix, identifying key controls to tests and to & document testing result
- Performing financial statement review and tie out like 8-K, 10-K, 10-Q, review with focus on testing disclosures and footnotes ensuring compliance with GAAP
- Have assisted teams during PCAOB and other audit quality inspections and have coordinated with other EY specialists across different service lines including tax, information technology, valuation, and advisory services
- Audited multiple significant accounts and high risk accounts
- Was able to identify fictitious amount which was shown in balance sheet and was able to report It to team and management
- Directly reporting to Partner in EY while performing credit reviews in particular.
Education
CISA -
ISACA
06.2024
ISO 270001 Certified - Lead Auditor -
TUV Rheinland India Pvt. LTD
05-2024
Certified Expert Practioner - General Data Protection Regulation
ISACA
01-2024
Data Protection Officer - General Data Protection Regulation
ISACA
01-2024
MBA: FINANCE -
East West College of Management - Bangalore
06.2009
BACHELOR OF COMMERCE: COMMERCE -
Gogte College of Management - Belgaum
05.2007
Skills
- Project Management
- Operations management
- Budget Oversight
- Documentation And Reporting
- Cross-functional team leadership
- Problem-solving abilities
- Multitasking
- Teamwork and Collaboration
- Hiring and Training
- Team building
- Operational Risk
- Internal Controls
- Banking operations
Certification
- ISO 27001 Certified Lead Audit
Timeline
Senior Manager
S R Batliboi & Associates (EY India)
08.2019 - Current
Controls Manager
J P Morgan Chase
06.2018 - 08.2019
Audit Associate
Northern Operating Services
07.2017 - 05.2018
Assistant Manager
EY GDS
11.2009 - 06.2017
CISA -
ISACA
ISO 270001 Certified - Lead Auditor -
TUV Rheinland India Pvt. LTD
Certified Expert Practioner - General Data Protection Regulation
ISACA
Data Protection Officer - General Data Protection Regulation
ISACA
MBA: FINANCE -
East West College of Management - Bangalore
BACHELOR OF COMMERCE: COMMERCE -
Gogte College of Management - Belgaum
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