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Audit Methodology at Riskpro India
Riskpro, India
2
Make Decisions……
Take Risks…….......
Your partner in
risk management
|governance |compliance
|audit
Experience Success!
3
Riskpro’s Network Presence
New Delhi
Mumbai
Bangalore
Ahmedabad
Pune
Agra
Salem
Kolkata
Hyderabad
Chennai
Jaipur
4
About Riskpro, India
Riskpro is India’s first national practice dedicated to risk management services and
training, corporate governance, and global regulatory compliances
Risk can be defined as a prospect of loss or reduced gain that can adversely affect the
achievement of an organisation’s objectives
When greed overtakes need, it spells trouble. Manifested as ‘bankruptcy’ in much of the
developed world and ‘corruption’ closer to home, greed has clearly disrupted some major
industrialised economies and enhanced the risks of doing business
In today’s world, risks are not few. The reason companies so often fail to systematically
manage their key risks is rooted in the way they define the risks they face. Risks are
manageable and the answer to untapped business opportunities that lie dormant waiting
for risk factors to turn favourable
Riskpro was founded in 2009 with offices in Mumbai, Delhi, and Bangalore and it has
already added eight member firms in Ahmedabad, Agra, Chennai, Gurgaon, Hyderabad,
Jaipur, Ludhiana, and Pune. All our offices and member firms are well equipped and
staffed with qualified professionals viz. CA, CWA, CS, CPA, CISA, CFA, and MBA
Riskpro’s founders are qualified risk management specialists with extensive work
experience in Europe and USA in several industries and financial institutions
5
About Riskpro India (cont…)
RISKPRO SERVICES
Our four major practice specialisations /service lines are:
• Risk: Enterprise Risk Management (services and training & recruitment)
• Governance: Corporate Governance and Transparency
• Compliance: Global and Indian Regulatory Compliances
• Training: in all of the above service lines; and Recruitment
The Risk Practice deals with all classes of risks and processes viz. governance, strategic,
systemic /infrastructure, compliance, reporting, and financial reporting. Processes require
that key risks are properly identified, measured, monitored, controlled, and reported.
Processes may also require tools like risk based internal audit, information security testing,
and fraud investigations, to be employed
The Governance Practice deals with corporate oversight and risk governance issues within an
organization including business continuity planning, compliance with SEBI guidelines by
listed companies, regulations relating to independent directors, investor expectation and
protection, Clause-49 on corporate governance, etc
The Compliance Practice covers a wide range of regulatory and environmental compliances
including Sox, IFRS, Solvency II, Basel II /III, Corporate Laws & Direct Tax Code etc
The Training Practice comprises of a variety of structured and /or industry specific training
programs and modules designed and conducted by Riskpro experts and trainers at onsite
(client or other offices) and offsite (Riskpro Training Centre) training facilities
6
Our Philosophy
● We will understand your business needs completely and deliver a
service that adds value
● We dedicate the best resouces with relevant sector experience, and
provide a state-of-the art quality service at an affordable fee
● We are always accessible and our approach to work is:
supportive and collaborative, flexible and responsive, open and
honest communication. We hold hands, not shake hands
● We provide constructive suggestions on improving business
processes and cost controls
● We adhere to timelines and deadlines
● We keep you informed about significant changes in regulatory,
compliance, and accounting matters on an ongoing basis
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Quality Assured
We place great emphasis on quality control and quality management.
Our quality process Our Quality Process is designed to provide a quality culture, to analyze the processes used to hire, train and retain staff, to develop and deliver services to our clients
and to administer our own business.
Skills and competence Personnel in the firm adhere to the standards of independence, integrity, objectivity and confidentiality. The firm is staffed by personnel who have attained, and who maintain, the skills and competence required to enable them to fulfil their responsibilities. To assist in maintaining these skills the firm has procedures for: training of staff at all levels, through both formal
courses and on-the-job experience; continuing professional education; assigning work to personnel who have the degree
of technical training and proficiency required in the circumstances; and
evaluating the performance of staff and counseling staff as to their progress and career opportunities.
`
CONTINUOUS IMPROVEMENT
Leaders
hip and
Quality
Culture
Informatio
n
Analysis
and
Planning
Human
Resourc
e
Processe
s External
Service
Processe
s Business
Processe
s
Service
Deliver
y
Measure
Client
Satisfacti
on and
Business
Results
Direction and supervision The firm provides for appropriate direction and supervision at all levels, together with appropriate consultation procedures, to give reasonable assurance that the work performed meets the highest standards. We:
employ and retain only those persons with the intelligence, education, character and diligence necessary to assume professional responsibility;
assign engagement responsibility to only those persons sufficiently trained and supervised to discharge those responsibilities;
not accept or continue a client relationship in circumstances incompatible with the firm’s integrity;
adopt promptly policies necessary to realise the objective of professional standards and applicable regulatory requirements;
maintain policies to ensure that the firm and its professionals are free of conflicts of interest and that professional excellence is achieved;
not tolerate any act that can damage the firm’s credibility.
Confidentiality We are well aware of the importance that you place on confidentiality requirements and we have a proven record of maintaining a strict code of confidentiality. Our firm policy requires that affairs of clients be confidentially kept at all times.
8
Clear and Continuous Communication
At Riskpro India, open and honest communication is a Core Value. Our experience
leaves us in no doubt that a successful relationship is based on trust and candid,
proactive communication.
Regular and open two-way communication is fundamental to all aspects of our service
to you. As an initial priority, we will agree with you an annual Communication Plan for
all our key meetings. This will help ensure there are formal and informal opportunities
for all key stakeholders to be kept informed of the issues that matter, and that there will
be “no surprises”.
Key objectives Meeting/stakeholders
Present annual audit plan
Report key findings
Updated assessments of key risks, including emerging risks
Discuss new regulatory and corporate governance requirements
Bi-annual meetings (or as requested) with the
Board / Audit Committee
Discuss strategy
Discuss operational matters and performance
Raise and consider emerging issues
Quarterly meetings with the Chief Executive
Officer
Discuss operational matters and financial performance
Discuss implications of changes to the reporting and internal control framework
Regular meetings with Head of Financial
Control
Discuss operational and business matters Meetings with operational management
9
ANNEXURE I - Our Audit Methodology
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Our Audit Methodology
Our audit methodology is risk-based and systematic which focuses on the organizational
objectives and any impediment to achieving those objectives. We recognise fully the need to
provide assurance on your business operations. Equally, we recognise the importance of
managing compliance issues, particularly in today’s evolving regulatory environment.
The key benefits of our audit approach are:
●Risk-based, & systematic approach;
●Focus on areas considered as potentially & most likely to
lead to material errors in financial statements;
●Our audit control procedures are based on project planning
techniques, including the use of automated processes and
document templates, and the agreement of objectives,
timetables, responsibilities and careful resource planning;
●The focus of our reports are to generate constructive and
value added advice; and
●Identifies performance improvement and cost reduction
opportunities.
Audit Strategy / Planning
Risk Assessment
Understanding of Business
Fieldwork
Dealing with critical issues
Reporting
11
Our Audit Methodology - Risk Based Internal Audit How we Do
Transaction
Audit
Control
Reviews
Process
Reviews
Risk
Assessment
Fraud
Mitigation
Enterprise Risk
Assessment
Increasing Enterprise Risk Focus
Nee
d o
f O
rga
niz
ati
on
s
Internal Auditing helps an organization
accomplish its objectives by bringing a
systematic, disciplined approach to evaluate
and improve the effectiveness of risk
management, control and governance
processes. Source: The Institute of Internal Auditors 1999 (IIA)
Benefits of Risk based Audit
• Traditional audit view value added
techniques
•Risk profile of Businesses
•Internal Controls & Ops Risk reviews
•Cost reductions recommendations
•Review of Fraud Risk Controls
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Our Audit Methodology (cont..)
UNDERSTANDING THE BUSINESS
Our top-down risk-based approach ensures that the audit focus is on the issues that
are of greatest importance to you and that we are in the most appropriate position to
respond to them. Our audit starts with a detailed understanding of your industry and
business.
Our approach is based on a top-down examination of the key drivers of your business.
The output is a balanced picture of how the company interacts with customers and
external industry forces. We consider the audit implications of this analysis and use it
to identify significant audit risks.
We use industry specific business models to gain information on:
• industry background including major players, regulatory changes and trends,
• risks and drivers,
• geographic issues,
• descriptions of business processes,
• benchmarks and best practice and
• audit risks.
13
Our Audit Methodology (cont..)
RISK ASSESSMENT
In order to run your business, you develop processes to manage the factors that drive
performance and help control internal and external risks that could prevent you from meeting
your objectives. We focus on those processes where significant risks have been identified and
discuss with management its perception of how these risks are controlled. This phase of our
work enables us to obtain information on the processes supporting the achievement of the
company’s goals.
AUDIT STRATEGY AND PLANNING
Based on the understanding of business and risk assessment we devise the audit strategy. We
then develop detailed audit programs to test the transactions, processes and balances.
AUDIT FIELD WORK
The audit test work flows from strategic planning and risk assessment. The key element is to
review and test the high level controls embedded in your processes, as significant weaknesses
in your key processes could cost, both in terms of financial impact and reputational damage. We
also carry out necessary substantive audit procedures.
DEALING WITH CRITICAL ISSUES AND REPORTING
We identify and discuss all critical issues with management. We then determine whether the
Company’s financial statements and related disclosures meet our expectations.
We provide the audit report, management letter and any other deliverables and formally present
these to the Audit Committee / Board.
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Our Audit Methodology (cont..)
IT AUDIT PROCESSES AND METHODOLOGY
We see IT as an enabler of the operational and financial processes and we
incorporate IT audit professionals into our audit to facilitate the identification and
testing of IT controls.
We use our focused IT audit methodologies and tools as part of our core audit
process to evaluate and test whether the Company’s information systems are
configured for data integrity, are secure and are effectively managing the business
needs. We work with key business and IT management to identify aspects of IT
that pose the highest risk to the Company. We then conduct a systematic, detailed
review of those areas in which we:
• identify appropriate IT control objectives that map to key business
processes;
• identify relevant IT policies and procedures and/or industry IT standards;
and
• evaluate the design of controls and test whether they are in place and
operating effectively.
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Our Audit Methodology (cont..)
We use the following types of IT methodologies:
Continuity management
System capacity and availability
Back up and recovery
Data storage
Project risk assessment
Quality Assurance
Project management methodology
Programme management
processes
Process Documentation
Control Risk Analysis
Control Design & Implementation
Network penetration testing
Information security assessment
Enterprise security architecture and
integration
Ongoing monitoring
IT AUDIT METHODOLOGIES
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Our Audit Methodology (cont..)
INTELLIGENT USE OF TECHNOLOGY
Technology is only one component of an integrated approach that combines
methodology, knowledge and technology into our tailored service to you.
We deliver our external audit services using a fully automated audit software. This
software is designed specifically to integrate knowledge management into the audit
process. Technology can never be a substitute for face-to-face communications and
we continue to rely on meetings with management to identify, resolve and
communicate issues.
Knowledge
MethodologyTechnology
Knowledge
MethodologyTechnology
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ANNEXURE II - Legal Compliance
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Legal compliance
Stage 1 – CAC
Preparation of Compliance Audit Checklist (CAC) covering all relevant laws
applicable to the target unit.
Stage 2 - Visit to location
Verification of relevant records and documents available.
Compilation of draft report based upon findings and observations of the audit
team
Review meeting with the unit head / work directors to discussion on the
finding of audit.
Stage 3 – Report
Submission of detailed Non Compliance (NC) report to the company (Board
of Directors or Compliance Head)
Follow up with the unit to verify action taken
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Legal compliance (Acts covered - HR)
Factories Act, 1948 Shop & Establishment Act (state acts)
Payment of Wages Act, 1936 Maternity Benefits Act, 1961
Minimum Wages Act, 1948 Gratuity Act, 1972
Equal Remuneration Act, 1976 ESI Act, 1948
Payment of Bonus Act, 1965 Apprentices Act, 1961
Provident Fund & Misc Provisions Act,
1952
Employment Exchanges (Compulsory
Notification of Vacancies Act), 1959
Contract Labour (Regulation & Abolition) act, 1970
Trade Unions Act, 1926
Workmen Compensation Act, 1923 Private Security Agencies Regulation
Act, 2005
Prevention of Sexual Harassment
(Guidelines) Industrial Disputes Act, 1947
Labour Welfare Act (state acts)
20
Legal compliance (Acts covered - Engg.)
Electricity Act, 2003 Environment Protection Act, 1986
Petroleum Act, 1934 Water (Prevention and Control of
Pollution) Act, 1981
Explosives Act, 1884 Air (Prevention and Control of
Pollution) Act, 1981
Boilers Act, 1923 Water Cess Rules, 1977
Legal Meteorology Act, 2011 Hazardous Waste Handling &
Management Rules, 1989
Essential Commodity Act, 1945
21
Legal compliance (Acts covered – Tax & Misc)
Micro, Small & Medium
Enterprises Devel. Act, 2006 Central Excise Act, 1944
Central Sales Tax Act, 1956 State VAT Acts
Customs Act, 1962 (export and import
documentation) Service Tax Act, 1955
Income Tax Act (payment of Tax, TDS) Foreign Exchange Management Act
Negotiable Instruments Act, 1881 Industries (Development & Regulation)
Act, 1951
Information Technology Act, 2000 Motor Vehicles Act, 1988
Competition Act, 2002
22
Riskpro Clients Our Clients
*Any trademarks or logos used throughout this presentation are the property of their respective owners
Banking/
Insurance
Corporate
MNC
Banking
Intl
Consulting
IT / Others
23
Team Experiences Our Experiences
*Any trademarks or logos used throughout this presentation are the property of their respective owners
Our team members have worked at world class Companies
24
RESUMES – Our team
Co-Founder - Riskpro
CA, CPA, MBA-Finance (USA), FRM (GARP)
Over 10 years international experience – 6 years in Bahrain and 4 years USA
15 years exp in risk management consulting and internal audits, Specialization in Operational Risk, Basel II, Sox and Control design
Worked for Ernst & Young (Bahrain), Arab Investment Company (Bahrain), Navigant Consulting(USA), Kotak Mahindra Bank (India) and Credit Suisse(India)
Sox Compliance project for Fannie Mae, USA ( $900+ Billion Mortgage Company)
Manoj Jain
Co- Founder - Riskpro
CA (India), MBA (Netherlands), CIA (USA)
Over 15 years of extensive internal and external audit experience in India and abroad.
Worked with KPMG United Arab Emirates, PKF South Africa, Ernst and Young Kuwait, Deloitte Netherlands and KPMG India.
Worked with clients in a wide variety of industries and countries including trading, retail and consumer goods, NGO, manufacturing and banking and finance. Major clients include banks, investment companies, manufacturing organizations, aviation etc.
Rahul B
han
Credentials
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RESUMES - Our team
Co-Founder - Riskpro
PGD (Electrical & Electronics & Computer Programming)
30 years of experience in Information & Communications Technology (ICT) Solutions for Retail, Garments, Manufacturing, Services Industries.
Has created Companies, Divisions, Products, Brands, Teams & Markets.
Consulting in Business, Technology, Marketing & Sales & Strategic Planning.
Advisory, Training, Workshops & Implementation in Systems Thinking, Systems Modeling & Balanced Scorecard
Worked with TIFR, Mahindra, Ambience, Communico-Graphique & Ionidea Inc, USA,
Casper
Abra
ham
Credentials
Sr Vice President – Risk Management
MBA, PDFM,NSE-NCFM, PMP, CSSGB,ISO 9001:2000 I.A,GARP-FBR, ITILV3,CPP-BPM
Professional with 17 years of rich experience into diverse Consumer finance/ Lending operations ,Risk Management,BPMS, Consumer Banking, NBFC, Management Consulting & Housing finance in BFSI industry having successfully led key business strategic engagements across multi-product environment in APAC, Australia and US regions.
Worked with GE, ABN AMRO Bank, Citigroup, Accenture, Deutsche Postbank
Highly skilled and expert Trainer in Risk areas across Credit, Fraud, Operational, Corporate Risk management.
Specializes in Fraud Control, AML/KYC Compliance ,QA ,ERM and Regulatory governance.
Hem
ant S
eig
ell
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RESUMES - Our team
Head - Insurance Risk Advisory services
B.sc, Associate of Indian Institute of Insurance
Licensed Category A Insurance surveyor
26 years of experience in Insurance advisory services, Loss adjusting for large corporates,Claims management.
Has assessed more than 4500 high value insurance claims across various industry sectors.
Risk management inspection
Valuations of fixed assets for insurance purpose.
R. G
upta
Credentials
Head - Human Capital Management
Chartered Accountant, Lead Assessor ISO 9000, Six Sigma Trained, Trained on Situational
Leadership, Trained on interviewing skills and Whole Message Model.
Over two decades of international, multi-cultural experience in finance and human resources viz. internal audit, accounting operations, accounting process review & re-designing, risk management, business solutioning, six sigma projects, talent acquisition, talent retention, organization design/redesigning, compensation and appraisal processing, employee and customer satisfaction surveys, knowledge management and finance services.
Worked with Citicorp/MGF, India Glycol, Delphi, American Express India, American Express USA, Fidelity International and Macquarie Global Finance Services India.
Nile
sh B
hatia
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RESUMES - Our team
Head – Taxation Risk Advisory
B.Com, FCA
Senior Partner with 48 year old Delhi based Chartered Accountant firm, Mehrotra and Mehrotra
Over 19 years of experience in the field of Audit, Taxation, Company law matters.
Major clients served are NTPC, BHEL, Bank of India, PNB, Airport Authority of India etc.
Raje
sh J
hala
ni
Credentials
President – Banking & Financial Services
A senior researcher in Applied Mathematics leading to Ph.D after MSc (Mathematics), CWA, CAIIB
Combined experience of 25+ years in corporate banking, risk management, international trade finance, development of risk rating models, project finance, credit monitoring and NPA management
Since 2006 conducting open / in-house training on the above domains to all Top public/ new and old private sector banks, top MNC banks (India and abroad), leading NBFCs and corporates in manufacturing and financial services space; Worked on IFC (World Bank) funded projects for MSMEs in India and abroad
Worked for Bank of Baroda and ICICI Bank – bestowed Top Performer Award continuously two years during his tenure; widely travelled abroad for business relations, seminars, offering training, investor meetings, NYSE listing and for processes involving establishment of representative Office in USA
Siv
ara
makrishnan
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Executive Vice President – Risk Management ( Banking & Financial Services)
A hands-on banking professional {BSc (Mathematics), CAIIB} with considerable domestic and international experience
An aggregate experience of 24+ years across industry, mainly BFSI in several functional areas including Retail and Commercial Banking, Corporate Lending, team member of the Business Process Re-Engineering project (BPR); conceptualizing and setting up shared services centres for centralized operations for the Bank in India.
Management through ERM framework overseeing all key areas of the business through various Operational Risk tools like KRI / RCSA matrices. Managing of major project implementation of Basel II and Compliance risk framework
Directing, reviewing and advising Board of Directors on various compliance issues and representing the bank to the Central Bank regulatory offices.
Worked for ANZ Grindlays Bank, Standard Chartered, Bahraini Saudi Bank and Dubai Holdings ( subsidiary)
Kashi B
anerj
ee
RESUMES - Our team Credentials
Consultant – Information Security & IT Governance
LLB, CA, CISA, CWA, CS, CFE and others
Over 15 years of experience in the field of Audit, Taxation, Investigations.
Specializing in the field of Systems Audit, Cybrex Audit, Computer Crime Investigations, IS Forensics
International Committee Member of Governmental and Regulatory Agencies Board and Academic Relations Committee of ISACA, USA
Anja
y A
garw
al
29
Executive Vice President – Risk Management ( Banking & Financial Services)
Professional Risk Manager with considerable domestic and international experience
An aggregate experience of 30 + years across industry, mainly Banking in several functional areas including Wholesale Credit Risk, Operational Risk, Trade Finance , Retail Banking and Islamic Financial Services.
Track record of setting up of excellence in the set-up, and management of credit and operational risk, compliance and credit administration functions in retail, commercial , Islamic Banking and offshore banking entities in the Middle East.
Key strength includes Corporate Credits, Risk Management in IT, implementation of Risk Management module in core banking Bank’s Policies, procedures, Country Risk. Played an active role in 3 core banking software implementations
Worked for a Private Sector Bank in India, ABN AMRO Bank, Bahrain, Bank Muscat Bahrain and BMI Bank Bahrain as AGM Risk Management.
Vija
yan G
ovin
dara
jan
RESUMES - Our team Credentials
Specialist Risk Consultant – ERP & IT Compliance
SAP Certified, MBA (Finance), SAP Security trained (from SAP India), SAP GRC Access Controls trained (from SAP India)
Over 7 years of experience working in the area of ERP/IT Risk advisory, primarily focusing on SAP, for ‘Fortune 500’ clients in around 8 countries including US, UK, UAE, Hong Kong, etc
Specializes in SAP Risk & Controls Advisory, SAP Business Process Controls Audit, SAP Security & Segregation of Duties Control Audit, ERP Trainings,
Strong Industry experiences ranging from Beverages, Insurance, Energy, FMCG, Pharmaceutical, Retail, Telecommunication to IT Services
Worked for risk advisory teams of reputed organizations like Ernst & Young, EXL Services
Goura
v L
adha
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RESUMES - Our team Credentials
Vice President & Head – IT Risk Advisory
Over 14+ Years of Experience in Information Security and Risk Management & CISM certified
Headed the Global Information Security team of Daimler (Mercedes-Benz) Worldwide at Bangalore for 9 years, previously worked at organization like Wipro, Bangalore Labs
Multi-sector experience including Banking, Insurance, Finance, Energy, Manufacturing, Retail, Hi-Tech & Telecom, and Automobile
Well known Ethical hacker: Was featured in BusinessWorld Magazine in an article about leading ethical hackers in India and published several articles in Print and Online Media
Rich experience in Information Security Audits across Corporations, 3rd Party Suppliers, Joint Ventures across several countries in the world including US, UK, China, Germany
Aashis
h S
hrivasta
v
Ravik
iran B
handari
Vice President – Legal Risk Advisory
B.B.A. LL.B. (Hons.)
About half a decade experience in legal services to client’s with respect to Contract and Commercial Laws, Joint Ventures, Inbound & Outbound Investments, Private Equity Investment Transactions, Real Estate & Infrastructure, Energy and General Corporate.
Have advised various social enterprises and start ups in setting up business in India.
Worked for the leading law firms of India such as FoxMandal Little.
31
RESUMES - Our team Credentials P
hanin
dra
Pra
kash
Vice President – Riskpro India
FCA [India], ACMA [India], CFE [USA], CertIFRS [UK]
Over 16 years of extensive consulting experience which includes financial & systems audit, process transformation, implementation of internal controls, SOX compliance, fraud audits & due diligence, US-India taxation
Engaged in consulting roles as trusted advisor to finance, internal audit and information technology executives of multiple Fortune 1000 companies with project sites in US, Canada, Europe & Asia
Worked with E&Y and Deloitte Consulting in USA
Some of the major clients served internationally are GE Capital, UBS, McKesson, Eaton, Imation, Albertsons,
EVP and Head – Telecom Risk Advisory
M.Tech, IIT Kharagpur, India; IES; Doctoral study, research and teaching in Linkoping University/Sweden; Lead Auditor (BVQI).
Over 30 years on International experience in networks and mobile Handsets from top global companies /institutes like ISRO, Ericsson, Nokia, Nokia Siemens Networks and based mostly in its head quarter locations in India, EU, USA.
Expertise: Setting up capability, behaviour, culture in turning Risk, Quality, Innovation for competitive advantage, customer delight and sustainability; key skill sets are Engagement, Handholding, Coaching, Mentoring and lot of best practices, benchmarking/standards like CMMI, TL9000, Six Sigma, ISO, SAS 70 etc.
Asok S
it
32
RESUMES - Our team Credentials S
iddhart
ha G
hosh
Executive Vice President – Riskpro India
CPA (USA), ACA, ACS, Grad CWA (India), MBA (USA), Associate ICPAS (Singapore)
Over 25 years of extensive audit and industry experience which includes 19 years with Rolls-Royce India Pvt Ltd at New Delhi and its associate and parent companies of Rolls-Royce in UK, USA and Singapore in all aspects of Finance, Taxation, Audit, Banking, Legal, Company Secretarial, Statutory compliances and due diligence, Internal Control, ESOP, Budgets, Cashflows, Forecasts, MIS Reporting, HR, Expatriate & Office Administration, Payroll, IT, Retirement Funds Administration, Shared Services, Project Accounts, etc.
Worked with Price Waterhouse Coopers for 4 years with reputed MNCs, banks, Indian corporate houses
Worked with McNally Bharat Engineering Company Ltd for 4 years
Priti T
aw
ari
Vice President – Riskpro India
B. Com, ACA, Dip. IFRS
Over 6 years of extensive audit and industry experience in all aspects of Finance, Taxation, Audit, Legal, Company Secretarial, Statutory compliances and due diligence, Internal Control, Budgets, Cash flows, Forecasts, MIS Reporting, HR, Expatriate & Office Administration, Payroll, IT, Project Accounts, etc.
Worked with Price Waterhouse Coopers for 3 years in audit & assurance for reputed MNCs, Indian corporate houses.
Engage in own practice since 2010 specialize in outsourcing of finance department in mid size MNCs and consultation in Indirect Taxes and Management Reporting
33
RESUMES - Our team Credentials M
anoj K
um
ar
Senior Vice President CAIIB 20 Years of hard core banking experience in India’s most reputed banks across wide functional areas. Worked with Central Bank of India, ICICI Bank, HDFC Bank, and Axis Bank as Asst Vice President, Cluster Head, and Branch Head. Areas of expertise are Financial Risk Management, NPA-Credit-Debt Management, Asset Reconstruction, Project Finance, and others. Accomplished several achievements in the functional areas of banking.
34
Specialist Risk Consultant – Business Continuity
Founder and 15-year Chairman of Survive, the first international user group for Business Continuity professionals
Founding director and first Fellow of the Business Continuity Institute
Over 25 years international consulting expertise in Risk, Crisis, Emergency, Incident, and Business Continuity and ICT Disaster Recovery Management
Multi-sector experience including Banking, Insurance, Finance, Oil, Gas, Energy, Manufacturing, Retail, Hi-Tech & Telecom
Western Press Award for services to business, 1994; BCI/CIR nomination for lifetime achievement in BC, 1999, London; inducted into BC Hall of Fame by CPM magazine, 2004, Washington DC.
An
dre
w H
iles
RESUMES - PARTNERSHIPS
Specialist Risk Consultant – Enterprise Risk Management
Highly skilled risk and insurance professional with 25 years of experience designing, developing and implementing large, global corporate risk management programs for Fortune 500 firms.
Principal Consultant and Founder - Excellence in Risk Management, LLC. (Texas, USA) Co-founder and EVP, Professional Services, rPM3 Solutions, LLC (Maryland, USA).
Past experiences include Head of Global Risk Management for USAA, PepsiCo/Tricon Global and American National Red Cross
Additional risk and insurance experience at Verizon Corp,. Marsh USA and Liberty Mutual Insurance Co.
2004 Risk Manager of the Year – 2007 recipient of the Alexander Hamilton Award for “Excellence in ERM” (at USAA) – former President, Risk and Insurance Management Society, Inc.
Ch
ris E
. M
an
de
l
35
Key Contacts Corporate Mumbai Delhi Bangalore
Riskpro India Ventures (P)
Limited
www.riskpro.in
F 186, Sarita Vihar
New Delhi 110076
Manoj Jain Director
M- 98337 67114
Shriram Gokte
EVP - Risk Management
M- 98209 94063
Sivaramakrishnan President – Banking & FS
M- 98690 19311
Rahul Bhan Director
M- 99680 05042
Hemant Seigell SVP – Risk Management
M- 99536 97905
Casper Abraham Director
M- 98450 61870
Vijayan Govindarajan EVP – Risk Management
M- 99166 63652 [email protected]
Ravikiran Bhandari VP – IT
Risk Advisory M- 99001 69562
Ghaziabad / Noida Chennai Kolkata Gurgaon
Siddhartha Ghosh
EVP - Finance M- 9810058072
R Gupta - Insurance Risk M- 98101 07387
R. Muralidharan
EVP – Risk Management
M- 95660 77326
Kashi Banerjee
EVP – Risk Management
M- 98304 75375
Nilesh Bhatia
Head – Human Capital Mgt.
M- 98182 93434
Asok Sit
EVP – Telecom Risk Advisory
M- 98105 03463
Pune Salem Ahmedabad Hyderabad / Agra
M.L. Jain
Principal – Strategy Risk
M- 98220 11987 [email protected]
Priti Tawari
M- 9011054085 [email protected]
Chandrasekeran
Recruitment franchisee
M – 94435 99132
Manoj Kumar
M – 98983 65320
Maulik Manakiwala M – 98256 40046
Gourav Ladha Sap Risk Advisory
M- 97129 52955
Phanindra Prakash (Hyderabad)
Member Firm
M- 95500 61616
Alok Kumar Agarwal (Agra) Member Firm
M- 99971 65253
