Management Project

Aparna Chowdhury

* ****** *****, **********, ** 08536,

Phone: 732-***-**** [Mobile], 609-***-****[Alternate]

e-mail: *******@*********.***

Qualifications Summary

Progressive, Perceptive and detailed oriented Senior Internal Auditor with 8 years of Corporate/

Internal auditing, Operational Risk Management and Internal Control experience in Financial/Securities/

Retirement Services Industry.

Expertise includes:

• Leading Operational, Financial, IT and Compliance [Anti Money Laundering] auditing within a

COSO/risk based framework

• Understanding of Generally Accepted Auditing Principles and IIA standards

• Supported SAS 70 audits of internal control over financial reporting

• Proficiency in creating audit database, tracking and reporting tool and providing analytical and

technical support for utilization of the database and reporting tool

• Business Impact Assessments and workshops for Business Continuity Planning

• Risk Assessment - Created value added analysis of identified business risks and gaps.

• Internal control- Policies and procedures evaluation and contribution towards establishing strong

internal control companywide.

• Proven track record for solid project management skills

• Statistics and quantitative analysis

Professional Experience

ING, Somerset, NJ (Formally known as CitiStreet – A Citigroup and State Street Co.)

2007-2009

Senior Internal Control Analyst [Manager Grade] - Operational Risk Management/Internal Control

[Transferred to Internal Control/Operational Risk Management after 3 years in Corporate Audit]

Audit Issues tracking – Solely responsible for developing companywide audit tracking and

reporting tool. Maintained electronic repository of audit findings. Scheduled and executed follow-up

reviews across departments and divisions. Conducted monthly meetings with senior to executive

level management to discuss progress with the audit corrective action. Reviewed corrective action

audit resolutions prior to transitioning to Chief Auditor- Corporate Audit for audit issue closure

Business Continuity Planning - Coordinated and contributed in Business Continuity Planning for

New Jersey site - Prepared, obtained management approval, tracked, and reported on the

Business Continuity planning

Risk Assessments - Conducted Business Impact Assessment, Gap Analysis and Operations Risk

Assessments. Conducted workshops on Business Continuity/Crisis Management to educate the

Business areas with the associated operational risks and identification of the controls risk mitigating

controls. Contributed in identifying key risk indicators for scorecard presentation.

Internal Control Pre Audits–Evaluated existing internal controls and self assessments for

business operations prior to Internal/External Audits. Interfaced significantly with all employee

levels; eliciting, evaluating, and considering solutions to align controls with business risks.

Compliance - Provide analytical support for implementation of and adherence to the Restricted and

Confidential [R&C] policy, Anti-Money Laundering Policy. Conducted R&C email audits. Worked

closely with HR and Compliance department to mitigate identified issues

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Aparna Chowdhury

SAS 70 Audits Coordination – Successfully and timely coordinated with external auditors and

Chief Auditor in completing the annual SAS 70 audits. Redesigned internal controls as needed

that led to timely completion of successful SAS70 audits. Managed the planning, execution,

walkthroughs and documentation supporting the internal control testing. Interfaced with business

areas to ensure accuracy of data provided to external auditors.

Achievements –

• Recognized for creating the company wide Audit tracking and reporting tool.

• Recognized for completing Business Continuity Assessment and Planning within a very

short period of time and highlighting identified gaps

CitiStreet (A CitiGroup and State Street Co. recently acquired by ING) 2004-2007

Somerset, NJ

Senior Internal Auditor – Corporate Audit Team

• Internal Audit - Successfully developed and executed a comprehensive annual risk-based

internal audit program. Conducted all aspects of internal audit engagements including planning,

risk and control assessments adhering to COSO model, Generally Accepted Auditing Principles

and IIA Standards. Testing, reporting and presenting audit findings. Providing recommendations

to senior management and follow-on monitoring of the corrective actions. Conducted financial,

operational, compliance and IT Data Center audits in compliance with audit standards.

Demonstrates proficiency in applying audit principles, skills and techniques.

•Reviewed and evaluated the adequacy and effectiveness of internal controls. Reviewed

processes, developed and executed test plans that included determining sample selection and

sample size, requesting and testing sample items in light of policy, procedure, and standard

business practices. Made process improvement recommendations and provided guidance to

assist with the implementation of corrective actions

• Special Audit Projects - Performed special projects as requested by the Chief Auditor of

Corporate Audit team

• Supervisory role - Supervised and mentored junior audit staff on engagements as required

• Policy and Procedures Evaluation - Reviewed and evaluated compliance with corporate

policies and procedures across operating units semi annually and annually

• External Audits - Successfully coordinated Operational and IT Audit efforts with those of the

external auditors

• Database Redesign and Management Reporting tool development-Applied technical

knowledge in successfully redesigning audit database and developing and implementing Audit

Issues’ Tracking and Reporting’ tool to track the audit issues and Corrective Action resolution and

provide concise and meaningful updates to Corporate Audit leadership and the business

management team.

• Actively participate in initiatives aimed at improving Corporate Audit’s processes and procedures.

Achievements -

Promoted to a Senior Internal Auditor within six months of joining the company

Prudential Securities, Inc., New York, NY 2000-2001

Audit Consultant – Internal Audit

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Aparna Chowdhury

• Participate in all aspects of audit activities including risk assessments, audit planning, audit

testing, control evaluation, report drafting, work paper documentation and follow up and

verification of issue closure.

• Formulated appropriate conclusions regarding the adequacy of internal controls and procedures

based on the work performed and knowledge of other operations in the Company.

• Interacted with all levels of management and employees. Conveyed audit findings persuasively

and confidently in meetings with local, Division and Corporate management.

Andersen Consulting, Chicago, IL [Now know as Accenture] 1998-2000

Internal Auditor – Analyst [Lead]–Finance Department

• Time and Expense Auditing-Participated in extensive full scope Time and Expense audit in

compliance with Company’s policy after each payroll and also at end of Fiscal year

• Fraud Auditing-Performed special audit assignments and fraud auditing independently as

requested by Partners/Directors within extremely stiff deadline.

• Designing Audit Findings Reporting tool - Solely responsible for audit notification/e-mail

notification process for entire North Americas. Imported relevant data from IT, sampled and tested

data for accuracy, ran queries in Access database, selected sample for audit testing created text

files, imported queried and analyzed data to lotus Notes and sent out companywide

communication via existing mail merge

• Trained and Supervised -Trained subordinates on audit process/procedures and compliance on

a regular basis. Closely supervised team to meet stiff audit deadlines.

• Project Management - Actively participated and contributed in the reengineering of the Time and

Expense audit team and automation of reporting audit findings. Worked closely with IT

department and senior level management in project completion.

Achievements –

• Employee of the month several times within the 2 year span with the company

• Promoted to Team Leader within 6 months of joining the company

Education:

• BS in Mathematics – University Of Calcutta, India

• MBA – 1 Year Completed – Indian Institute Of Social Welfare and Business Management,

[IISWBM]-India

• CIA in progress

• Certificate in International Trade – Indo American Society, Kolkata, India

• Six Sigma training – On the job training

Technical Skills:

• Computer Skills: Applications-Microsoft Access, Microsoft Excel, Excel Macros, Power Point,

Microsoft Office, Lotus Notes. Operating System- Windows, DOS

• Other Skills:

Statistics/ Management Principles / Project Management/ Knowledge of Generally Accepted

Auditing Principles

Strong ability to assess risks/controls from an integrated business control framework - COSO.

Proficient in auditing standards/practices, project management and process improvement. Effective

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Aparna Chowdhury

leadership/team building and problem solving skills. Ability to mentor, motivate and coach staff. Ability

to complete projects successfully within tight deadlines.

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