RISHI MATHUR
 To acquire leadership position in Internal Audit department, where I can deploy
Email: rishimathur3184@gmail.com
Mobile: +91- 9594296008
Current Location: Gurgaon, India
Education & Certification
 MBA Finance, Institute Of
Business Studies & Research
 Bachelor of Commerce, MDS
University Ajmer
 CIA - Pursuing
Experience Summary
 Since Jan’ 21 – Accenture,
Manager, SOX
 May’ 19 – Dec’ 20 – AIG, Lead
Manager
 Oct’ 13 – Apr’ 19 - Sears Holding,
Project Leader
 Jul’10 – Oct’13 – HDFC
Securities, Assistant Manager
 Oct’07 - Jun’10 – Aneja
Associates, Executive Internal
Auditor
Significant Achievement
 Received high achiever award
within the 6 months of joining
AIG.
 Received appreciation from SHC
stakeholders for identifying
duplicate expense reimbursement
and recovery of $1mn from
associates.
 Received appreciation from SHC
stakeholders for saving of $1.5
mn during expense review.
 Received Applause award for
efforts put in for Vendor
allowance audit. Identified
revenue leakage of $5mn.
 Received team award thrice for
successfully completing SOX
testing remotely from India.
 Awarded for Best Internal Audit
report October 2008 & November
2009 in Aneja Associate.
Personal Details
 Marital Status: Married
Career Objective
my experience and expertise in developing and maintaining a relevant and
credible internal audit function to supporting company’s strategy and mission.
Key Skills
 MBA Finance & Commerce Graduate with over 12 years of experience in the
field of Internal Audit, SOX Compliance Audit (Business & IT), Fraud Analytics.
 Ability to manage audit team and with multiple projects. Good in applying data
analytics skills to do more effective audits. Ability to communicate effectively
with external auditors.
 Good knowledge of Regulatory compliance pertaining to Capital Market and
Financial sector.
 Actively coach staff and deliver feedback throughout the audit engagement
 Good knowledge of COSO framework, Internal Audit standards issued by IIA.
Work Experience
 Currently working with Accenture as lead Manager SOX, and responsible for
handling SOX program for client
SOX review (Domain - General Insurance - North America region)
 Responsible for assisting in Annual Sox control scoping, Rationalization and
Resource planning.
 Handling project updates and progress to senior AIG SOX stakeholders.
 Work closely with Statuary auditor on SOX project
 Performing process walkthroughs for critical controls and reviewing the
control tested by Team members for Business SOX.
 Mentoring/ Coaching to the team in Audit areas.
 Reviewing Key reports/ ITGC controls/ EUC involved in the controls.
 Identifying automaton opportunity for controls and monitor the final
deliverable.
 Worked with American International Group (AIG) as lead Manager SOX,
and responsible for setting up team and transitioning SOX audit program to
India.
SOX review
 Responsible for assisting in Annual Sox control scoping, Rationalization and
Resource planning.
 Handling project updates and progress to senior AIG SOX stakeholders.
 Work closely with Statuary auditor on SOX project
 Performing process walkthroughs for critical controls and reviewing the
control tested by Team members for Business SOX.
 Mentoring/ Coaching to the team in Audit areas.
 Reviewing Key reports/ ITGC controls/ EUC involved in the controls.
 Identifying automaton opportunity for controls and monitor the final
deliverable.
 Worked with Sears Holding India (SHI) as Project lead, Corporate Audit and
responsible for performing SOX compliance audit (review) Internal audits,
Operational audits for SHI, SHGS Hong Kong and SHC. Responsible for
assigning task to team and review their completion. Participate in annual risk
assessment with Management.
 SOX Compliance Audit business
 Internal/ Operation Audits/ Fraud Investigations
 Employee expenses review (Globally)
 Internal Quality Review
 Hands on experience in ITGC control, SOX IT review related to change
management, Access review etc.
 Audit Tools development: Spendthrift and 302 certification tool;
Participated in creating audit tools for improved audits. Worked on
business function side identifying rule sets and did User access testing
(UAT).
Spendthrift tool – Using data analytics and rule set, identify associate
expenses (post payment) and create exception report for review.
o Manage the day to day activities review of the exceptions of expense
(post payment)
o Oversee and scheduling of activity of each auditor, follow-up done on
 Date of Birth: 31/03/1984
 Address: Flat No. 902, building N-
7, Paras Irene, Sector 70-A,
Gurgaon– 122001
the observation raised.
o Review of the rule set on periodic basis to ensure that defined rule sets
are working fine. Adding or removing rules based on the trend analysis
of the employee expense.
o Maintain tracker of expense (post payment) review, planned,
requested, in progress, and completed along with final outcomes of
each transaction.
o Identify and communicate with leadership general patterns of behavior
found in audits that may require a review of Firm policy.

 Worked with HDFC Securities, in their Internal Audit Department. Responsible

of Preparing of Yearly audit schedule, Defining the Audit Methodology &
process. Audit Commencement discussion with Functional Team/ Department.
Conducting fraud Investigation. Provide recommendations to mitigate the
risk and to strengthen the controls for the gaps identified in the course of audit.
Finalization of Audit reports after discussion with the department head.
Handling SEBI / Regulatory Auditors (System, Inspection). Key areas audited
as KYC, AML, Risk Management, Operations (PIPO) compliances, Branch Audits,
Finance & Accounts Audit.

 Worked with Aneja Associates, in Risk Advisory team. Responsible of

providing advisory services to broking and Financial services companies.
Review of compliance with corporate policies, statutory & regulatory
environment by ensuring that SEBI, NSE, BSE & RBI guidelines are adhered to
and ensuring quality deliverables for clients. Key areas audited as KYC, AML,
Risk Management, Operations (PIPO) compliances, Sub broker compliance
review, Investment banking Treasury operation review, Branch Audits, Finance
& Accounts Audit, LAS review. Some of the key clients:

 ICICI Bank, ICICI Securities and Primary Dealership business

 Edelweiss Capital Finance Limited
 JM Financials
 Mangal Keshav Securities Limited
 RAMI Investments