VIVEK BHARDWAJ
Bengaluru
Summary
Chartered Accountant with over 10 years of expertise in Governance, Risk and Compliance (GRC), specializing in process risk and control reviews, internal audits, and internal control design and testing. Proven ability to deliver accurate outcomes to stakeholders within tight deadlines. Experienced in drafting process flow diagrams and ensuring compliance with Sarbanes-Oxley Act requirements. Strong focus on enhancing operational efficiency and risk management frameworks.
Overview
15
15
years of professional experience
Work History
Vice President (Risk & Controls)
Wells Fargo International Solutions Pvt. Ltd.
Bengaluru
03.2025 - Current
- Managed a team of 5-6 members for project delivery, ensuring timely client outputs and recommendations.
- Executed Process Risk and Control Reviews (PRCR) across processes to enhance controls and minimize risks.
- Documented issues identified during PRCR discussions with senior stakeholders in Veritas for effective tracking.
- Oversaw Risk and Control Self Assessments (RCSAs), supporting process owners with risk mapping and questionnaires.
- Worked with businesses on control rationalization, improving documentation in line with FRASA standards.
- Resolved escalations by evaluating risks and implementing mitigation measures as necessary.
- Compiled detailed analyses on regulatory compliance issues to ensure adherence.
- Developed Process Flow Diagrams using MS Visio for clarity on potential process risks.
Sr. Assistant Vice President (Risk & Controls)
Wells Fargo International Solutions Pvt. Ltd.
Bengaluru
02.2023 - 02.2025
- Conducted Process Risk and Control Evaluations (PRCR) to enhance control environment and mitigate risks.
- Identified issues and improvement opportunities in Veritas, collaborating with senior stakeholders for timely resolution.
- Collaborated with business units on control rationalization, streamlining documentation per FRASA format.
- Addressed escalations from stakeholders by assessing risks and implementing mitigation strategies.
- Prepared comprehensive analyses of regulatory compliance breaches and identified issues for resolution.
- Supported stakeholders during external audits, ensuring performance documentation met standards.
- Drafted Process Flow Diagrams in MS Visio to clearly present potential risks and controls.
- Reviewed Monitoring of Applicable Local Laws compliance to identify improvement opportunities.
Manager-Risk Advisory Services
Brahmayya&Co.
Gurgaon
07.2017 - 02.2021
- Crafted Internal Audit Plan aligned with management-approved scope of work.
- Conducted risk and process-based internal audits for pharmaceutical, retail, banking, and manufacturing sectors.
- Developed Risk and Control Matrix for clients as part of Internal Financial Control activities.
- Performed control testing for Internal Control over Financial Reporting, covering design and operating effectiveness.
- Evaluated internal audit reports, discussing findings and enhancements with CEOs and CFOs.
- Drafted Action Taken Reports to track implementation of management-endorsed recommendations.
Senior Consultant (Business Consulting)
EY Global Delivery Services LLP
Gurgaon
03.2021 - 01.2023
- Prepared Risk and Control matrix as a part of SOX 404 readiness, for multiple processes like HR & Payroll, Procurement to Payment (PTP), Order to Cash (OTC), Inventories, Fixed Assets, Finance & Accounts (F&A) etc.
- Executed SOX testing (interim/roll forward and year end phase) in alignment with the test procedures and the control description given in the Risk and Control Matrix.
- Recommended multiple control rationalization points to the onshore control owners with the help of Power BI (Data Analytical tool), for efficiency and streamlining the internal control design.
- Drafted Process Flow Diagrams (in MS Visio) of Standard Operating Procedures (SOP) of various processes for better presentation and ease in understanding.
- Led the review of SOX testing as an acting engagement manager with an overall team size of 5 to 6.
- Drafted test attributes, risks associated with controls, risk impact analysis, control objectives, sampling methodology including bi-level frequency based on control description and frequency of the control.
Associate Consultant (GRCS)
KPMG (India)
Gurgaon
12.2015 - 07.2016
- Led risk-based internal and process audits for manufacturing and retail organizations, covering end-to-end cycles including P2P, O2C, Inventory, Production, Fixed Assets, Payroll, and R2R.
- Designed and executed internal controls testing (design and operating effectiveness), identifying control gaps, process inefficiencies, and compliance risks, and delivering actionable insights to senior management.
- Planned and supervised physical inventory verifications across plants and warehouses, including ERP reconciliations, valuation reviews, and assessment of obsolete, slow-moving, and damaged stock.
- Developed process flows, narratives, RCMs, and implemented IFC and ICFR frameworks in line with Companies Act, 2013, including control testing, deficiency evaluation, and remediation tracking.
Senior Associate (Internal Audit)
R.N Marwah & Co. LLP
NEW DELHI
12.2014 - 08.2015
- Led end-to-end internal audits for a dedicated automotive manufacturing client, managing a team of 5–6 members and ensuring timely delivery of audit plans, fieldwork, and reporting across multiple processes.
- Executed detailed process reviews and control testing, identifying control gaps, operational inefficiencies, and compliance risks, and providing practical recommendations aligned with business objectives.
- Conducted fraud investigation engagements at management’s request, focusing on vendor management and scrap sales processes, including data analysis, transaction testing, and root-cause assessment.
- Presented investigation findings and remediation actions to senior management, supporting decision-making, strengthening controls, and mitigating the risk of recurrence.
Article Assistant (Internal Audit)
Sahni Natarajan and Bahl
NEW DELHI
03.2011 - 03.2014
- Began professional career as an Article Assistant, executing checklist-based store audits for a reputed FMCG client, ensuring adherence to internal controls, operating procedures, and compliance standards across retail locations.
- Validated third-party vendor invoices for a large IT client prior to payment release, performing detailed accuracy, completeness, and contractual compliance checks to mitigate financial and operational risks.
- Undertook a special assignment at IGI Airport (Delhi) involving verification of land and space measurements, identifying discrepancies between master agreements and actual outlet areas, and highlighting revenue leakage and compliance gaps.
- Conducted Quality Assurance and Quality Control (QA/QC) reviews for a leading FMCG organization and performed a Paint Shop process review for a prominent automobile component manufacturer, focusing on process efficiency, control effectiveness, and adherence to quality standards.
- Executed physical inventory verifications, reconciling physical stock with ERP records, investigating variances, and reporting control gaps with actionable recommendations to strengthen inventory management and accuracy.
Education
Chartered Accountant -
The Institute of Chartered Accountants of India
NEW DELHIBachelor of Commerce (P) -
School of Open Learning, University of Delhi
NEW DELHISkills
- Microsoft Office Suite
- Data analysis and visualization
- Issue management systems
- Audit and compliance software
- Sampling and randomization tools
Accomplishments
- Awarded with iRecognize award in Wells Fargo
- Awarded with multiple Manager Spotlight Awards in Wells Fargo
- Awarded with Team Spotlight Award in Wells Fargo
- Awarded with EY Appreciate Spot Award in EY GDS (Thrice)
- Awarded with EY Most Lazer Focused Award in EY GDS
Hobbies and Interests
- Playing Drums
- Listening Music
- Watching Risk & Control related Podcasts
Languages
- English
- Hindi
Languages
English
Proficient (C2)
C2
Hindi
Native
Native
Timeline
Vice President (Risk & Controls)
Wells Fargo International Solutions Pvt. Ltd.
03.2025 - Current
Sr. Assistant Vice President (Risk & Controls)
Wells Fargo International Solutions Pvt. Ltd.
02.2023 - 02.2025
Senior Consultant (Business Consulting)
EY Global Delivery Services LLP
03.2021 - 01.2023
Manager-Risk Advisory Services
Brahmayya&Co.
07.2017 - 02.2021
Associate Consultant (GRCS)
KPMG (India)
12.2015 - 07.2016
Senior Associate (Internal Audit)
R.N Marwah & Co. LLP
12.2014 - 08.2015
Article Assistant (Internal Audit)
Sahni Natarajan and Bahl
03.2011 - 03.2014
Chartered Accountant -
The Institute of Chartered Accountants of India
Bachelor of Commerce (P) -
School of Open Learning, University of Delhi