Management Training

Address: *** ********* ***, *********, ** *****. USA. Email: acqem0@r.postjobfree.com. Phone: 203-***-****.

Professional Highlights

Corporate Compliance and Internal Audit executive with extensive Compliance framework, Financial transformation, FCPA program development & sustainability, Operational & Financial Auditing, Controllership, Enterprise Risk & Controls, Process Automation and Simplification, Consulting experience.

Lean Simplification Program, FastWorks & Change Acceleration Process (CAP) trained.

Successfully developed and lead global teams building world class Internal Audit and Compliance functions.

Certifications: CPA (Connecticut), CIA and CA (India).

Experience in both - Public Accounting – Enterprise Risk Management and Controls Consulting, Operational Auditing and Corporate environment – Corporate Compliance, ERM, Technology, Controls, Project Management, Internal Auditing and Corporate Accounting & Reporting.

Professional Experience

General Electric Capital Corporation.

901 Main Avenue, Norwalk, CT 06851. USA.

Enterprise (Core) Compliance Leader – GE Capital Real Estate (RE). Dec. ’13 – Present

Lead the development, implementation and management of key aspects of Compliance Program, including:

Compliance Risk Assessment: Establish, implement and maintain the Compliance risk assessment methodology. Lead execution of annual compliance risk assessment and analyze the aggregate results.

Annual Compliance Plan: Present the plan for approval, track, monitor and report the progress of deliverables against the approved plan to the Compliance Committee and ERMC.

Policies & Procedures: Own the Compliance policy framework and drive policy, procedure development, communication and the related training. Develop the communication and training strategy relating to the Compliance policies and procedures, portals & Compliance bulletins. Serve as a Compliance representative on Policies Review Committee.

Training and Communication: Develop the vision and strategy for effective and efficient Compliance training and communication. Serve as Real Estate representative on GE Capital-wide matters relating to training, communications and systems. Led the creation of the Compliance Training and Communication plan, including training calendar, and reporting progress to various stakeholders.

Enterprise Programs: Develop & execute GE Capital Compliance strategy for shared services and resources including Centers of Excellence within Real Estate. Developed and executed GECC Compliance's strategy for compliance systems within RE.

General Electric Company.

3135 Easton Turnpike, Fairfield, CT 06828. USA.

Corporate - Global Internal Controls (IC) Audit Leader. Feb. ’11 – Nov. ‘13

Established the Corporate Audit Steering Committee comprising of CFO, CRO, Global Controller, General Counsel, Chief Compliance Officer and other members of senior leadership team. Identified and lead significant initiatives with buy-in from Steering Committee and Senior Leadership team.

Set-up Internal Controls (Audit) and Data Analytics function. Designed a robust continuous monitoring program using ACL and other Data Analytics tools.

Developed and rolled-out a simplified Risk Assessment methodology for effectively capturing the GE Corporate risk environment & developing an annual audit plan.

Built the IC team – recruited and on-boarded the team, mentored and coached the team. Developed training program; provide formal and on-the-job training to staff.

Lead successful implementation of a simplified FCPA compliance program across various business units. Rolled-out an effective Improper Payments prevention program – FCPA risk assessment, third party management and controls over payments to high risk parties, effective policy, training and monitoring. This was adopted by all GE businesses.

Managed all aspects of operational audits and special projects – audit planning, review work papers, obtain consensus with management on findings and corrective actions, issue formal reports, effectively communicate with Audit Steering Committee, assist with remediation – implementation of controls.

Lead GE Company-wide development of automated FCPA controls within Vendor Onboarding System (Aravo) and Accounts Payable system (SSS Oracle) to manage the FCPA risks related to high risk payments in 22 global payment platforms (40 countries). Won the GE CFO’s Corporate Finance Leadership Award during Q3 2012 for most valuable contribution while leading this effort. Served in subject matter advisory capacity to GE businesses and core FCPA team.

Lead the development and implementation of Enterprise Standards for Global Source to Buy, Buy to Pay, Travel and Living, Procurement Card processes. Lead global teams on special projects – Inter-company loans (legal entity documentation), Legal entity simplification, Chart of Accounts simplification.

Represented GE at public forums most recently at the Anti-Corruption Congress in Washington DC – Panel Speaker on “FCPA – Books and Records” in July 2013.

Deloitte & Touche, LLP.

333 Ludlow Street, Stamford Harbor Park, Stamford, CT 06902. USA.

Senior Manager – Enterprise Risk Services – served clients in FS, C&IP, Life Sciences, TMT. Jan. ’04 – Feb. ‘11

Lead large teams on multi-location and complex client engagements (finance transformation, internal audit, risk assessment, SOX and simplification projects) - right from preparing and delivering client presentations. Actively identified opportunities and participated with Partners in sales & proposal activities. Delivered value through professional services, managing clients effectively, building & nurturing relationships and driving satisfaction.

Provided guidance and assisted clients in - performing Internal Audit, Compliance, and Fraud risk assessments, developing and finalizing the Audit Plan, monitoring the progress of deliverables during the audit fieldwork, providing subject matter expertise and sharing the industry leading practices.

Successfully lead all aspects of large global client engagements - staffing with correct skills/ resources, managing client relationships, analyzing the engagement risks and maintaining high quality of deliverables - engagement reports. Coordinated with clients to obtain periodic feedback to incorporate their requirements in service delivery to attain complete client satisfaction.

Optimized engagement economics, planning, monitoring the client billing and collections, minimized the risk and maximized the profitability of engagements, managed the client senior management relationship and expectations effectively to become client’s go-to person for their professional services needs.

Lead and managed Sarbanes Oxley and Japanese SOX projects for firm’s leading clients.

Piloted and effectively utilized off-shore resources to optimize profitability and deliver on-time quality services.

Lead PMO and Internal Audit work streams during large Bank Holding Company conversion projects working with clients, firm SMEs and regulators (Federal Reserve).

Provided subject matter expertise - streamlining the processes, SOX program and controls during the merger of 2 large global pharmaceutical giants, simplifying the global mobility program, process and controls (EXPAT program) for a leading technology giant.

Actively participated at the IIA chapters in New York City and Connecticut to establish eminence and expand network in market place.

Lead recruitment efforts, provided feedback, actively engaged in staff development, performance management and staff retention activities. Mentored and coached staff and managers to enable them to successfully navigate their career path. Developed training materials; provide formal class room training and on-the-job training to staff (both Deloitte and client staff) on a day to day basis.

Continuously “lived in the field” and “walked the halls” to keep the staff motivated, to hear the client needs and implement actions to achieve client satisfaction, expand relationships and pursue new leads.

Developed and managed practice initiatives for Enterprise Risk Services such as team building events, lunch with partners, and practice updates. Supported partners in generating new business and developing new services and manage the proposal development and engagement sales.

Praxair Inc.

39 Old Ridgebury Road, Danbury, CT 06810. USA.

Senior Corporate Auditor and Senior Corporate Accounting Analyst. May. ’01-Jan. ‘04

Managed and participated in multi-location international and domestic operational audits - provided process solutions and recommendations to management, worked with management to develop value added recommendations, coordinated completion of field work, drafted recommendations, remediation plans and audit reports, followed up on previous findings and the status of remediation activities.

Advised best practices, cost reduction and process improvement strategies to business units. Participated in financial reporting fraud investigation involving senior management at an overseas subsidiary.

Lead special projects and partnered with corporate groups like HR, Procurement, Energy Management, Treasury & Corporate Accounting for process documentation improvements and internal controls evaluation.

Won the Corporate Controller’s award for excellence and most valuable contribution during Q4 2001.

Core member of SOX project team involved in Sarbanes Oxley Rule 404 implementation. Coordinated the SOX 404 responsibilities to assist with the CFO and CEO certification. Designed and implemented SOX compliance tracking software and rolled it to worldwide entities for quarterly reporting.

Managed the Corporate Balance sheet reviews, reporting and consolidation. Reviewed Equity, Stock Compensation and Debt footnotes – including quarterly review with Corporate Controller.

Coordinated the monthly close, approved journal adjustments and account analysis, managed Debt Compliance reporting. Documented the accounting and reporting procedures, prepared the monthly close calendar, implemented cross-training of members of the accounting group.

ON Semiconductor (Formerly, A division of Motorola)

5005 East McDowell Road, Phoenix, AZ 85008. USA.

Analyst – Corporate Finance Intern. May ’00-Dec. ‘00

Conducted review of Accounting policies and procedures to update the policies and developed flow charts.

Performed benchmarking to calculate and analyze the financial ratios of competitors and presented to CFO.

Pushpa Polymers Private Ltd. (60,000 TPA Polystyrene Project with Toyo-Japan)

Glory House, Dalia Industrial Plot, Off Link Road, Andheri (W) Mumbai - 400053, India.

Deputy Manager: Internal Audit. Dec. ‘98-Jul. ’99

Conducted operational audits of business processes (for example: procurement function, payroll and compliance) and provided value added recommendations for process improvements.

Public Accounting (India)

Large/Medium public accounting firms in Mumbai (India) Sep. ‘93-Dec. ’98

Conducted transactional / operational audits and prepared audit work papers as a lead senior.

Coordinated initial public offering prospectus and filing with Securities Board for Pre-IPO companies.

Prepared tax returns for Individuals, Corporations and other entities.

Education & Certifications

The Institute of Internal Auditors USA

CIA Aug. ‘09

American Institute of Certified Public Accountants Connecticut

CPA Nov. ‘03

Thunderbird, School of Global Management Glendale, AZ

MBA - International Management (Finance) Dec ‘2000

The Institute of Chartered Accountants of India Mumbai, India

Chartered Accountant Nov. ‘96

University of Bombay Mumbai, India

Bachelor of Commerce May ’95

Additional Information

Computer Skills: Proficiency: Windows, Microsoft Office, Visio, JD Edwards, SSS Oracle, Hyperion

Activities: Mulund College of Commerce (India), GE - Table Tennis team participant

Active Volunteer: Junior Achievement

IIA NYC Chapter – Academic Relations Committee (2009-10)

ASCEND – Professional Membership Committee – D&T and GE representative – 2010-2012

Treasurer – KOJAIN – Volunteer at a not-for-profit organization – since 2012.

Vice President - Jain Center of CT – Volunteer at a not-for-profit organization – since 2011.

Lead the 2013 Southwest Connecticut Special Olympics – Swim event – coordinated with 150 GE volunteers and Special Olympics.

Membership: The Institute of Internal Auditors

The American Institute of Certified Public Accountants

The Connecticut State Society of Certified Public Accountants

The Institute of Chartered Accountants of India

Panel Speaker: Global Anti-Corruption Congress – Washington DC – June 2013

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