Real Estate Internal Audit

TECHNICAL SKILLS

ACADEMIC QUALIFICATION

PROFESSIONAL EXPERIENCE

PARISHA JOSHI

Contact No. +1-331-***-**** Email ID: **************@*****.*** LinkedIn: https://www.linkedin.com/in/parisha-joshi-3bb943bb/

Master’s in Finance, DePaul University, Chicago, Illinois (GPA: 3.9/4) Sep 2020-Jun 2022

(Courses: Quantitative methods, Financial Management, Financing New Ventures, Adv. Corporate Finance, Investment Analysis, Financial Statement Analysis, Real Estate Investment & Finance, Blockchain & Cryptocurrency, Money & Capital markets, International Finance, Introduction to Programming)

Financial Risk Management (FRM), Global Association of Risk Professionals (GARP), USA Nov 2017

Chartered Accountant (CA), Institute of Chartered Accountants of India (ICAI), Mumbai, India Nov 2015

Bachelor of Commerce, University of Mumbai, India, CGPA: 6.54/7.00 Mar 2014 Enterprise Risk, Manager, Ernst & Young, Chicago, IL Jul 2022 - Present

Performed Internal Audit, Sarbanes-Oxley (SOX), Internal Audit gap assessments, regulatory issue validations, and risk advisory projects for clients in the Wealth & Asset Management and Banking & Capital Markets in- dustry in the areas of valuations, trading, wealth operations, investment management, portfolio performance and monitoring, investments governance, compliance, model governance, mortgage lending, mortgage servicing, foreclosure activities, Bank’s capital adequacy program, liquidity, and other treasury functions etc.

Led the process understanding meetings, identified risks and corresponding controls, worked on developing internal audit test plans, leading the fieldwork, testing, and drafting the audit issues and report.

Managed a team of 3 to 5 junior and senior audit executives

Instrumental in leading internal initiatives such as IA considerations in Basel III Endgame and driving the SOX WAM go-to-market strategy as part of the SOX campaign Analyst, Intern, Glyph Investments Inc., Chicago, IL Jun 2021- Aug 2021, Jan 2022-Jun 2022

Developed framework for analyzing the profit & loss of co.’s investment portfolio to optimize risks and returns

Devised a framework for pricing cryptocurrency, options in cryptocurrency using Black Scholes model

Developed accounting spreadsheets for planning and analyzing components of the financial statements

Organized books of accounts and streamlined accounting practices for the 12 entities in line with US GAAP

Regulatory and tax filings – Sales tax filings, Annual report filing with the Registrar, Property Tax, filing 1099s Graduate Assistant, Department of Real Estate and Finance, DePaul University, Chicago, IL Sep 2021-Nov 2021

Assisted the Professor in his lectures, graded assignments, and exams for his course on Investment Theory Enterprise and Operational Risk, Manager, Axis Bank, Mumbai, India Feb 2018 – Aug 2020

Led two bank-wide risk strategy initiatives: ICAAP (per Basel III norms) and Risk Appetite framework

Devised a framework to identify the top operational risks for business functions, deployed in gov. tool

Led several risk-review projects on Govt. Business, Trade & Retail Forex, Suspicious Transactions, Syndication that included process understanding, identification of risks/control gaps and recommending controls/control enhancements and presenting the findings and recommendations to the senior management

Led the pilot team for a process governance exercise; devised a prototype which was scaled up across Bank

Operational risk review of the complaints handling system resulting in reduced mis-selling complaints by 15%

Developed solutions to analyze model risk governance framework for IT applications across business functions

Responsible for ensuring risk governance, managed the risk agenda for Board and Risk Committee meetings Hedge Fund Accountant, Assistant Manager, Viteos Fund Services, Mumbai, India Apr 2016 – Oct 2017

Managed the end-to-end accounts of two hedge funds with AUM of USD 4.5 billion and USD 5 billion each

Pricing, analyzing the differences in P&L of listed and OTC products including equities, options, futures, bonds

Reconciled trade, cash positions and corporate actions with custodian and reported large swings

Comprehensive month-end accounting including NAV computation & reconciliation of significant variances Audit Assistant, Asit Mehta & Associates Chartered Accountants, Mumbai, India Sep 2012 – Dec 2015

Internal audit of private cos. including review of operational effectiveness and internal financial controls

External audit of private companies - review of financial statements in line with accounting standards

MS office, Google Sheets, Bloomberg, EY - Mercury, Archer, Tableau, Xero Accounting software, Python

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