Sucheta Ganguly

- Assisting in end to end sampling, processing till review of Personal Independence compliance Testing (PICT)

- As a senior presently in charge of assisting as a process reviewer and working as a part of supporting Quality Management for Service Excellence review program

- Post elevation, got exposure to manage team members to adopt leadership skills, performance evaluation of the team members

- Participated in planning with managers on recruitment requirement depending on upcoming projects and budget

• Independence Testing and assessment, Quality Review, Risk Management, Quality review of the projects internal to the team
• Enterprise Governance Risk and Compliance Assessment using Archer tool
• Assisted in business continuity planning

Overall responsibilities include:
- Effectively conducting Audits of professionals (Partners / Principals / Directors / Managers) on a regular basis to minimize the risk of regulatory and internal policy violations.
- Using research tools to obtain information regarding mutual funds and equity shareholdings.
- Providing timely reports to the leadership as regards Audit results.
- Leading and guiding a team of Audit professionals towards meeting individual and team goals.

Independence Audits:

• Effectively conducting audits of Canadian professionals (Partners/Directors/Managers) on a regular basis to minimize the risk of regulatory and internal policy violations.
• Verifying financial statements, mutual fund fact sheets, tax returns and other relevant financial holdings of the professionals during the course of audit.
• Conduct research to obtain information about mutual funds, different types of investments and private company shareholdings.
• Providing Audit Summary to the leaderships as regards to their audit results.
• Direct liaison with professionals to communicate them the independence process.
• Worked on other multiple projects in additions with the core work.
• Serving individual clients to provide confirmation of independence to the client's audit committee.

Banking operations:

• Solely assisted in banking operations for priority customers, with utmost perfection and on-time delivery using Finacle as a banking software and staying continuously updated with current banking regulations.
• Provided guidance to customers to manager their portfolios through different investment options depending on their risk appetite and market conditions.
• Used critical thinking to break down problems, evaluate solutions and make decisions.
• Delivered exceptional level of service to each customer by listening to their concerns and answering questions.

Experience during articleship:

1. Banking Sector: Information Systems Audit and Concurrent Audits in different public and private sector banks

2. Tax Audits : Verification of accounts and filing of Tax Audit forms in textiles industries

3. Statutory Audits for various department of NGO

4. Pre Audits and Internal Audits: Verification of payment vouchers of contracts entered by Public Sector Undertakings with its clients after going through the works contract and labour contracts

5. Government School Audit: Receipts and Payments verification, utilization of government grants verification.

6. Internal Audit : Checking internal compliances, internal check system, accounting system, vouchers, sample entry verification, discount option verification for various Public Sector Undertaking