RISHI MATHUR

E-mail: acx2kn@r.postjobfree.com

Mobile: +91-959*******

: +91-841*******

OBJECTIVE:

To acquire the mid-level managerial position in Internal Audit team, where I can deploy my experience and expertise in order to achieve company’s objectives

Key Skills

Over 8 years of experience in various Risk based process audits & Internal Audits.

Good knowledge of conducting SOX Audit.

Good knowledge of Regulatory compliances pertaining to Capital Market and financial sector.

Capability of coordinating and communicating with external auditors

Strong Communication as well as Interpersonal Skill

Organization:

Name of Organization : Sears Holdings India IT and Management services.

Industry : Retail Industry

Role & Responsibilities : Assistant Manager, Internal Audit (November 2013 till date)

Audit Role

Performing Operational Audit/ Risk based Process Audit

oPlanning (Scoping of the Audit Area/ participate in preparing Risk matrix/ Participate in leadership meetings)

oExecution (Process walkthroughs/ testing of controls and documentation)

oReporting (Finalizing the audit observations and follow-up on action items).

Performing SOX Audit

oPlanning (COSO mapping/ Planning of budgeted hours for resource planning)

oExecution (Walkthroughs and testing of controls and documentation)

Performing Risk Assessment

oParticipate in Risk assessment meetings with Business leaders.

Involved in obtaining PCMM level-3 certification - as PCMM appraisal team member and helped the lead appraiser.

Organization:

Name of Organization : HDFC Securities ltd.

Industry : Stock Broking (Securities Market)

Role & Responsibilities : Asst. Manager Internal Audit (July 2010 to October 2013)

Audit Role

Preparation of Yearly audit schedule

Audit Commencement discussion with Functional Team/ Department.

Defining the Audit Methodology & process

Process review and identifying the risk associated with process.

Preparation of the control checklist based on the risk identified.

Conducting Investigation for the fraud/ forge cases.

Provide recommendations to mitigate the risk and to strengthen the controls for the gaps identified in the course of audit

Finalization of Audit reports after discussion with the Functional Team/ Department.

Monitoring audit issues closure by follow up audits.

Process documentation and implementation of the process and be the part of the change management

Defining scope for empanelled Internal Auditors.

Responsible to monitor work, manage and guide the team External Internal Auditor.

Liasioning with SEBI / Regulatory Auditors (System, Inspection)

Name of Organization : Aneja Associates (chartered accountants firm)

Role & Responsibilities : Internal Auditor (Oct 2007 to July 2010)

mailto:acx2kn@r.postjobfree.com objectives

Evaluating the existence, effectiveness and continuity of internal controls.

Review for compliance with corporate policies, statutory & regulatory environment.

Ensuring that SEBI, NSE & BSE guidelines are adhered to.

Ensuring that Anti money laundering guidelines are adhered to.

Ensuring that Company maintained the proper documentation.

Preparation of Audit Reports based on the Audit findings.

Performing SEBI Internal Audit for Stock Broking companies.

Recommending improvements in internal controls, business processes & financial reporting.

Assignments Audited:

ICICI Securities limited

Mangal Keshav Securities Limited

Edelweiss Capital Finance Limited

JM Financials

RAMI Investments

Area Reviewed:

KYC Compliance

Risk Management

Operations Audit

Compliance Audit

Mutual fund distribution Audit

Life & General Insurance Distribution Audit

Branch audit & Inspections.

Tele Broking/ Customer care audit

ESOP funding to Clients

HR & Payroll Audit

Accounts Audit

Admin Audit

Sub-Broker Audit

Loan Against Shares Audit

Review of general IT controls

Awards & achievements:

Received team award thrice for successfully completing SOX testing for remotely from India (Sears holdings).

Awarded twice for the Best Internal Audit Broking operation report for “ICICI Securities limited” in October 2008 & November 2009.

Awarded for the Best Internal Audit Broking operation report for “Mangal Keshav Securities limited” in November 2009.

Educational mailto:acx2kn@r.postjobfree.com

Master of Business Administration (MBA) from Institute Of Business Studies & Research, New Mumbai. (2008)

Specialization: Finance

Graduate in Commerce (B.Com) from Government College Ajmer batch 2002-2005.

Senior Secondary School Certificate Examination, Rajasthan Board from St. Pauls Sr. Sec. School, Ajmer in 2002.

Secondary School Examination, Rajasthan Board from St. Pauls Sr. Sec. School, Ajmer in 2000.

NSE - NCFM Certifications

NSE “Equity Dealer Module”

NSE “Derivative Dealer Module”

“NISM - Securities operation and Risk Management”

“Options Trading Strategies Module”

Seminars Attended:

Webinar on “COSO implication on Treasury function” conducted by IIA Bombay chapter.

“Internal Audit & Forensic Audit (IAFA) Series 2012” conducted by INSTITUTE OF INTERNAL AUDITOR – Bombay Chapter.

Seminar on Internal Audit of Mutual Funds on February 25, 2012 conducted by IIA Bombay chapter.

Seminar on SOX compliance conducted by IIA Bombay chapter.

Seminar on Internal Audit of Primary dealership conducted by IIA Bombay chapter.

Seminar on Internal Audit of Insurance business conducted by IIA Bombay chapter.

Seminar on Internal Audit of Mutual fund house conducted by IIA Bombay chapter.

Attended seminar conducted by “INDIAN BANKING ASSOCIATION” & “INDIAN MERCHANT CHAMBERS”, on 27 April 2007.

Attended seminar at Bombay Stock Exchange Training Institute.

Computer Proficiency

Operating System: Windows Platform

Office Automation: Microsoft Office & Open Office

Software used : TeamMate, Smartsheet, PeopleSoft, Business Object, Essbase, Precision,

Match Settlement/ Derivative, LD (Lidha-dhidha), Net savvy, etc.

Extra Curricular Activities:

Active member of Sports committee & CSR committee in Sears Holdings India IT and Management services.

Key player of corporate cricket team in Sears Holdings India & HDFC Securities participated in various Corporate Cricket tournaments.

Personal Profile:

Date of Birth : March 31, 1984

Marital status : Married

Wife’s Name : Tania Chopra

Occupation : Senior Graphic Designer

Correspondence Add: Flat No. 205 “C-3”

Ganga Constella, Near EON IT Park

Kharadi, Pune – 411014

Permanent Add : B-80 Vikas Marg,

Panchsheel Nagar,

Ajmer 305001

Rajasthan

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