Gautam Kumar
Summary
Experienced Chartered Accountant offering 15 years of comprehensive expertise in driving financial risk and compliance practices within organization. Proficient in SOX 404-COSO compliance, ViR- Valuation in Resolution Compliance, Internal Audit, external audit, Accounting, Financial Statement GAAP conversions, Process Institution, Simplification, and ERP Implementation. A tech-savvy and proactive professional with a proven record of identifying risk areas, addressing issues, and meticulously documenting controls.
Overview
15
15
years of professional experience
Work History
Vice President- SOX 404 and ViR Central Team Lead
Credit Suisse
04.2014 - Current
- Responsible for managing full lifecycle of SOX 404 and ViR (Valuation in Resolution) programs, including scoping, design, and operating effectiveness, as well as year-end sign off.
- Prepare quarterly reports for senior management and committees such as Group SOX 404 Steering Committee, Group Audit Committee, and Group Risk Committee.
- Responsible for performing financial statement scoping for SOX, ViR, and Legal Entity Framework. This includes calculations for quantitative scoping thresholds, determining qualitative and quantitative account scopes for financial statements and footnote disclosures. Additionally, assessing and ensuring comprehensive control coverage across organization.
- Take charge of End of Year sign-off, communication, and attestation processes, including reviewing sign-off roles and responsibilities, coordinating senior manager meetings, and preparing SOX presentations for Executive Board members.
- Monitor overall compliance with Group SOX Policy, including ongoing monitoring of quality assurance metrics throughout year.
- Quarterly, aggregate SOX and ViR control matters to evaluate changes in severity assessment and issue classification to Significant Deficiencies or Material Weaknesses. Provide quarterly reports on these findings to Group SOX Steering Committee.
- Lead global weekly team meetings for SOX and ViR, facilitating discussions on various items and addressing issues raised by regional team members.
- Serve as subject matter expert for SOX 404 and ViR central team, providing advice and assistance to regional SOX teams.
- Able Manager/ Mentor with proven ability in driving team through talent identification, effective delegation, continuous monitoring and providing growth opportunities.
- Documented company-wide controls aligned with CS Group Policies and COSO Principles for COSO 2013 compliance, and establish monitoring controls for these controls.
- Conducted comprehensive front-to-back reviews of key processes, ensuring thorough documentation of controls and processes.
Assistant Manager- Financial Reporting Services
Grant Thornton LLP
09.2012 - 03.2014
- Leading SOX audit process, which involves planning scope of entities to be audited, executing audit procedures, and monitoring testing of design and operating effectiveness of processes and controls.
- Conducting audits of remediation of material weaknesses identified in previous audits, ensuring that necessary actions have been taken to address and resolve these weaknesses effectively.
- Leading statutory audits in accordance with local regulations, such as IGAAP (Indian GAAP), SFRS (Singapore Financial Reporting Standards), and South African regulatory requirements.
Deputy Manager- Accounts
Essar Power Limited
12.2011 - 09.2012
- Conducted comprehensive reviews of Essar Power M.P. Limited's financial statements to ensure compliance with Indian GAAP and Indian Companies Act.
- Prepare IFRS statement pack with mandated disclosures.
- Compile consolidated financial statements for Group, including notes and disclosures.
- Review monthly statements and MIS reports for accuracy and compliance.
Assistant Manager - Audit
Walker Chandiok & Co
07.2008 - 11.2011
- Provided assurance services under PCAOB standards, Indian GAAP audit, for Public and Private firms in IT/ IT enabled service providers, Healthcare, Logistic and Infrastructure.
- Key team member for SEC registrant transitioning to IFRS. Assisted Indian companies in Indian GAAP to IFRS transition.
Education
CPA -
CPA Australia
Australia04.2023
Diploma in International Financial Reporting -
The Association of Chartered Certified Accountants
UK06.2010
Chartered Accountant -
The Institute of Chartered Accountants of India
India11.2007
Bachelor of Commerce Account Honours -
St. Xavier's College, Ranchi University
India04.2005
Skills
- Regulatory compliance- SOX 404/COSO, ViR
- Financial risk mitigation expert
- Skill in stakeholder & project management
- Expert in control documentation
- Advanced financial analysis skills
- Excellent team player
Affiliations
- Institute of Chartered Accountants of India, India
- CPA, Australia
- Association of Chartered Certified Accountants, UK
Timeline
Vice President- SOX 404 and ViR Central Team Lead
Credit Suisse
04.2014 - Current
Assistant Manager- Financial Reporting Services
Grant Thornton LLP
09.2012 - 03.2014
Deputy Manager- Accounts
Essar Power Limited
12.2011 - 09.2012
Assistant Manager - Audit
Walker Chandiok & Co
07.2008 - 11.2011
CPA -
CPA Australia
Diploma in International Financial Reporting -
The Association of Chartered Certified Accountants
Chartered Accountant -
The Institute of Chartered Accountants of India
Bachelor of Commerce Account Honours -
St. Xavier's College, Ranchi University
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