Internal Audit Risk Management

CURRICULUM VITAE

Venkata Swathi Vasireddy E-mail: ****************@*****.***

(ACMA, (CA), PGDBA (F), B.com) Mobile: 998**-***** SKILLS SUMMARY:

Professional having 8+ years of experience in Internal Audit, SOX Testing (Business Process & ITGC), Compliance Testing, Risk Management plus 3 years of CA internship. Depth of experience includes Fortune 500 Banks and other Global companies.

GLIMPSE OF EXPERIENCE:

SOX internal controls testing (as per Sec 404 of SOX Act, 2002);

Performing End to End (Design and Operating effectiveness) testing of IT general controls testing

(ITGC), SOC, Regulatory controls, Operational, Financial, Securities & Exchange Commission

(SEC), Taxation, Client Assets Sourcebook (CASS) controls;

Non- SOX testing, Internal Audit, Compliance Testing and Risk assessment;

Statutory audit, concurrent audit and other taxation works. EMPLOYMENT DETAILS:

Work Period Worked for Worked as a

April 2021 – till date Black Knight Inc Internal Auditor III Aug 2018 – Nov 2020 Wells Fargo India Enterprise Testing Associate May 2017 – Aug 2018 UBS Business Solutions (India) Private Limited

Business Risk specialist

Sept 2014 – Mar 2017 HSBC Electronic Data

Processing India Pvt Ltd

Finance Executive

Aug 2012 - Sept 2013 N Arun & Associates Audit Manager Apr 2008 – Apr 2011 Bixam Reddy & Associates Articled Assistant EXPERIENCE GAINED:

Internal Audit / SOX / Compliance:

Execute Pre-planning and Planning procedures of testing.

Participating and documentation of walkthrough meetings and process narratives with the business partners/clients.

Conducts analysis on population datasets and application of suitable sampling testing methodologies.

Testing of SOX and Non-SOX controls of Business processes including Entity Level Controls, Tax, Accounting, Indexing, Fixed Assets, HR and Payroll.

Testing of SOX and Non-SOX controls of IT General Controls (ITGC) including Change Management, Access Management, Incident Management, Computer Operations, Data Protection and Information Security; including Cloud based (AWS) controls.

Testing of SOC1 & SOC2 controls.

Testing of legal, regulatory, statutory requirements of Regulatory controls.

Testing of Financial, Taxation, Client Assets Sourcebook (CASS) and End User Computing Testing (EUCT).

Testing of Securities & Exchange Commission (SEC) controls relating to financial statements & footnotes and evaluate based on disclosure checklists.

Drafting and Distribution of Shell and Final reports to the business partners/clients.

Validation of accuracy of process remediation and testing of remediation controls.

Conducted peer level review of Audit results prepared by other team members for the assigned business areas.

● Acquainted with Segregation of Duties (SOD), BCP & DRP and Travel & Expenditure audits etc.

● Possess the ability to analyze and adopt the control framework in terms of COSO and COBIT.

● Proficient in analyzing issues, proposing innovative solutions, client management and interacting with professionals at all levels.

DEVELOPMENTS AND ACHIEVEMENTS:

Recognized with “IA Champion” Award (twice) and Promoted as an ‘Internal Auditor III’ within a short span of joining in Black Knight Inc.

Acted as a Lead Auditor for some projects and efficiently handled them with effective results and within a budgeted time.

Performed critical responsibilities like Preparation and Distribution of Audit reports, Audit Committee reports, Budget & Utilization reports, and Data Analytics.

Performed responsibilities as a substitute Manager. PROFESSIONAL QUALIFICATION:

Associate Member of Institute of Cost Accountants of India (ICAI - former ICWAI) from Feb 2017.

Cost and Management Accountancy from ICAI (former ICWAI) in June 2012 with Merit and Secured National 82nd rank in CMA Inter.

Chartered Accountancy (Completed Group II in Final) from Institute of Chartered Accountancy of India in November 2012.

PGDBA (Finance) from Symbiosis Centre for Distance Learning, Pune in July 2012.

B.com (commerce) from Acharya Nagarjuna University in March 2007. COMPUTER SKILLS:

Experience on Workday, SHRP, FTP, PeopleSoft, SAM, SORT, TeamMate + applications.

Hands-on experience in operating MS Windows Platform and in MS Office tools such as Word, Excel and PowerPoint.

PERSONAL PROFILE:

Languages Known : English, Hindi and Telugu

Hobbies : Painting, Drawing, Music

Strengths : Positive Attitude, Innovative, Adoptable & Quick learner, Good interpersonal skills

I hereby declare that the information stated above is factual to the best of my knowledge and belief.

Place: Hyderabad Sd/-

Date: (Venkata Swathi Vasireddy)

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