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Srishti
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Professional profile
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Independent Auditor (Freelance)
Engaged directly by small and mid-sized business clients to plan and execute internal and SOX-aligned audits, independently managing the full engagement lifecycle from scoping through final reporting.. Evaluated the design and operating effectiveness of internal controls, identified control gaps, and assessed compliance with company policies and applicable regulations.. Performed and documented process walkthroughs and transaction testing to support each client's annual risk assessment and audit planning.. Drafted clear, actionable audit reports and control-improvement recommendations, presenting findings directly to client leadership and business owners.. Managed client relationships and engagement timelines independently, from initial scoping and fieldwork through remediation follow-up.
Sr. Reporting and Control Analyst
Perform internal testing of identified (SOX) processes, confirm the accuracy of accounts and controls, inspect physical processes, and detect intentional and unintentional failures of internal controls in accordance with SOX Act.. Implements, enhance and assist with the management of the Company’s internal auditing and SOX compliance program by continuously defining risks and key controls.. Assist the Senior Manager with process documentation, evaluation of processes and systems, process improvement, data analysis, teaming with project implementation teams, and investigations.. Assist the Senior Manager in completing the annual SOX risk assessment and annual reporting requirements.. Perform and document walkthroughs and transaction flows of SOX and other business processes for the Company.. Manage and facilitate contact with process owners, and internal and external audit teams, concerning internal control testing.. Develop and maintain documentation of internal controls across the organization and assist Torrid departments in updating policies and procedures.. Assist other departments in process and control enhancements and the creation of continuous controls monitoring via data analytics tools, remediation of audit findings, and various special projects, as needed.
Sr. Financial Reporting Analyst
Conduct SOX risk assessment and planning, design and operational assessments, control testing, and reporting on internal controls.. Prepares and analyzes income and balance sheet statements, consolidated statements, and various other accounting statements and reports.. Responsible for quarterly and annual external financial reports including those filed with the SEC.. Proof and validates internal and external press releases, board and audit committee materials, sales releases, earning releases, proxy filing, and other filings with SEC.. Coordinates accounting matters with other departments, locations, and distribution centers.. Serves as a resource for management in effecting efficiency and cost improvements.. Complete the Census Survey.
Internal Auditor II
Perform Internal audits, SOX, and financial control testing that includes assessing the design and operating effectiveness of the internal control structure and compliance with policies and procedures.. Manage, track, and facilitate the successful remediation of all control deficiencies.. Review processes and controls for efficiency and effectiveness provided by staff auditors.. Document test results and provide support for an informed, objective opinion of risk exposure.. Draft audit reports, observations, and recommendations and present them to management both verbally and in writing.. Conduct the audit programs by determining the objective, scope, and work program of individual audits.. Conduct mapping and documentation of processes to identify key risks and controls.. Use the company’s electronic work paper tool, Teammate.. Build and maintain relationships with business stakeholders.
Internal Auditor
Perform Internal audits and SOX testing, including assessing the design and operating effectiveness of the internal control structure and compliance with policies and procedures.. Document test results and provide support for an informed, objective opinion of risk exposure.. Assist with the development of audit programs by determining the objective, scope, and work program of individual audits.. Perform regular follow-ups on open and past-due internal audits and SOX observations.. Assist in mapping and documentation of processes to identify key risks and controls.. Assist in the coordination of third-party compliance assessments and audits.. Use the company’s electronic work paper tool, Teammate.
Senior Accountant
Performs necessary functions for reconcilement with Federal Reserve Bank, Federal Home Loans Bank, and other accounts as needed.. Lead monthly Reconcilement and audit preparations of General Ledger cash accounts by making sure the Truth in Lending Act is followed correctly- by auditing cost and disclosures.. Reconcile month-end reports, payoffs, and adjustments with purchased loans and services.. Reviews daily system proofs and corrects any out-of-balance conditions or communicates with proper personnel indicating any corrections need to be made and addresses any systems errors.. Maintains the company’s check system monitoring the positive pay exceptions and ensuring adjustments are made within Federal Reserve’s specified deadlines.. Maintain the fixed asset and associated depreciation schedules on the FAS software for general journal entries; ensure proper recording of new purchases.. Files 945 tax return. Reviews and IRS correspondence relating to 941 or 945 returns. Addresses and differences the IRS finds between the returns and the electronic files containing W-2s, 1099 R.. Complied with applicable laws and regulations, including but not limited to, the Bank Secrecy Act, the Patriot Act, and the Office of Foreign Assets Control.
Audit and Compliance Specialist
Review new members’ onboarding process to ensure compliance with Credit Union’s (CU) BSA/CIP policies and account opening procedures, including Issuance of Plastics.. Developed reporting process and trained branch staff on its use by enforcing the Equal Credit Opportunity Act (Treating everyone equally).. Guide branch staff on members’ eligibility for Tax Withholding Forms W-9 and W-8BEN.. Reviews and assesses the Bank’s financial regulatory reporting processes.. Perform vendor system maintenance and ensure all information captured and documents uploaded are relevant, complete, and accurate. Analyze vendor performance to report on duplication of service, lack of faithful performance, and services not being utilized.. Perform periodic Quality Assurance reviews of processes, such as Validation of Employees’ Access to the Core Banking System, Validation of Lending Data System Input, and Validation of information flow from the Core Banking System to the BSA/AML system. Also audited Fannie/ Mae and loan processes.. Assisted VP Risk and Compliance in the preparation of weekly, monthly, and quarterly reports required to be presented to Senior Management and the Board of Directors.. Work as a liaison between Internal/External auditors and Business units and collect, record, and provide data to auditors.. Performed compliance and financial reviews of divisional financial practices and reports.. Facilitated and provided support on audit-related activities. Recommended the best approach and provided advice on how to effectively address audit points.. Involved in providing walkthroughs and training on correct financial processes as part of a corrective approach to improve business processes.
Relationship Banker
Reviewed 50+ merchant applications in accordance with established underwriting guidelines and policies, while performing a thorough investigation of credit information from credit reporting agencies (Reg C and Fair Credit reporting act) and other sources to determine a merchant’s overall risk level. Maintained acceptable turnaround times for applications submitted.. Prepared KYC documentation of enterprise merchants including Company formation documentation, personal IDs of directors, etc. in keeping with organizational Compliance policies and BSA, Patriot Act, and OFAC requirements. Communicated with the sales team for any additional documentation for AML.. Reviewed Merchant AML Declaration and determined the Ultimate Beneficial Owner of the merchant's business. Conducted AML checks using World-Check PEP list, Compliance portal, OFAC-EU Freeze list, Credit Bureau reports, D&B/Experian, complaints/fraud/bad press boards, and BBB.. Monitored ‘high-risk’ accounts by performing periodic reviews to detect and investigate potential fraud, ensuring proper actions are taken when risk triggers are reached to proactively limit company exposure to fraudulent activities.