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    Swati - CV-Nov 2023

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    mehek jain
    Swati Jain has over 18 years of experience in internal auditing and risk management across various industries. She has held leadership roles such as Global Head of Internal Audit and Senior Vice President of Internal Audit. She has expertise in setting up and leading global internal audit functions, conducting risk assessments, and advising executive teams. Jain has worked for organizations like Goldman Sachs, ICRISAT, Morgan Stanley, and Deloitte.

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    Swati - CV-Nov 2023

    Uploaded by

    mehek jain
    25 views2 pages
    Swati Jain has over 18 years of experience in internal auditing and risk management across various industries. She has held leadership roles such as Global Head of Internal Audit and Senior Vice President of Internal Audit. She has expertise in setting up and leading global internal audit functions, conducting risk assessments, and advising executive teams. Jain has worked for organizations like Goldman Sachs, ICRISAT, Morgan Stanley, and Deloitte.

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    Swati_CV-Nov 2023

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    Swati Jain has over 18 years of experience in internal auditing and risk management across various industries. She has held leadership roles such as Global Head of Internal Audit and Senior Vice President of Internal Audit. She has expertise in setting up and leading global internal audit functions, conducting risk assessments, and advising executive teams. Jain has worked for organizations like Goldman Sachs, ICRISAT, Morgan Stanley, and Deloitte.

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    Swati - CV-Nov 2023

    Uploaded by

    mehek jain
    Swati Jain has over 18 years of experience in internal auditing and risk management across various industries. She has held leadership roles such as Global Head of Internal Audit and Senior Vice President of Internal Audit. She has expertise in setting up and leading global internal audit functions, conducting risk assessments, and advising executive teams. Jain has worked for organizations like Goldman Sachs, ICRISAT, Morgan Stanley, and Deloitte.

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    Swati Jain

    Mobile: +91 93913 00209| Email: swatijain@live.com

    • Led Enterprise IA team for one of the largest financial services organizations in a short span of time
    • Set-up and led global Internal audit function with over 18 years of experience working across India and USA
    • Strategic and operational experience in risk assessment, process design and stakeholder engagement. Significant
    Experienced at influencing and advising across CXO levels, Boards and Audit Committees through executive and non-
    executive roles.
    • Elected and operated as the Chair for IA community of practice having IA heads of 15 organizations globally.
    • Experienced in working as an investigation authority on financial misappropriation issues/ whistle blower complaints.
    • Worked across multiple delivery models – onsite, local and in a remote/ offshore environment on IA, SOX and other
    regulatory compliances.

    Academic Background
    2006 Certified Internal Auditor Institute of Internal Auditors, USA
    2006 Certified Information Systems Auditor ISACA, USA
    st
    2004 Chartered Accountant (1 Attempt, Rank Holder) ICAI, India
    2003 Bachelor of Commerce University of Calcutta, India

    Experience
    Nov 2023- Present Pursuing Personal & Family Well-being goals
    ▪ Took voluntary career break to pursue personal and family well-being.

    Jan 2023 – Nov 2023 Senior Vice President, Internal Audit – Goldman Sachs (Hyderabad, India)
    Feb 2022 – Dec 2022 Vice President, Internal Audit – Goldman Sachs
    ▪ As part of India IA leadership, responsible for building and co-leading Hyderabad IA practice providing oversight to 40 plus
    team members.
    ▪ As part of Asia IA Leadership team, provided leadership in various areas including IA issues, new developments, audit
    methodology, people management and contributed in practice development.
    ▪ Senior Audit Manager leading audit coverage over the Enterprise function with focus in Human Capital Management,
    Corporate Workplace Solutions, Third Party Risk management & Executive Office.
    ▪ Built and mentored the Enterprise IA team on strong risk and control mindsets, exercise professional scepticism to
    challenge and discuss effectively with management on risks and control measures.
    ▪ Experience in adopting and directing the team in agile methodology for effective audit project management.

    April 2016 Global Head Internal Audit


    - Feb 2022 International Crops Research Institute for the Semi-Arid Tropics (ICRISAT) (Hyderabad, India)

    ▪ Responsible for leading the overall direction and leadership of the internal audit function which included providing risk
    based independent assurance on internal controls across the Institute in areas of financial, and operational audits covering
    Headquarters and ICRISAT’s global locations.
    ▪ Delivering advisory services to CXO level to improve the organization’s governance, risk management, and control
    processes. The role also required contribution to the ethics processes in line with the Whistle Blower Policy.
    ▪ Formulating and executing risk-based audit plans by planning, scheduling, performing / supervising financial, operational
    system and process audits of business units in accordance with the International Professional Practices Framework.
    ▪ Responsible for investigating whistle blower complaints financial/non-financial frauds and reporting the outcomes to the
    CEO and the Board.

    Sept 2012 - April 2016 Manager, Internal Audit, (ICRISAT) (Hyderabad, India)

    Nov 2010 - Sep 2012 Senior Consultant - Business Risk, Deloitte & Touche AERS IPL (Hyderabad, India)

    ▪ Global consultant with strong experience in internal audit and business process reviews including controls benchmarking &
    optimization engagements for various Industries.
    ▪ Worked on several engagements, which include preparation and review of Standard Operating Procedures, drafting Risk
    and Control Matrix, conducting walkthroughs and controls rationalization.
    ▪ Involved in the Foreclosure review process of mortgaged loans for a global bank.
    ▪ Experience setting up and operating in onshore – offshore model supporting US and global clients.
    Swati Jain
    Mobile: +91 93913 00209| Email: swatijain@live.com
    Jan 2009 – Oct 2010 Full Time Mother of Twins (Born – March 2009)

    March 2008 – Dec 2008 Senior- Internal controls consulting and risk assessment Berdon LLP (New York, USA)

    ▪ Plan, supervise and execute financial, operational, and systems audits and special projects.
    ▪ Document and confirm understanding of controls & processes; assist in developing audit testing procedures; perform audit
    tests & procedures and prepare draft audit findings & recommendations.
    ▪ Sox 404 implementation for new businesses including scoping, risk assessment, controls validation and enhancement,
    controls remediation’s, testing and reporting stages.

    July 2007 – Nov 2007 Manager – Business Controllers Group (Finance), Morgan Stanley & Co. (New York, USA)
    ▪ Developed and presented Financial Risk Summaries (FRS) and Performance Metrics to senior management of the Business
    controllers’ group (BCG) to highlight monthly risks such as the amount manual processing of data, staffing issues, system
    issues along with their reason and solutions.

    Mar 2005 – July 2007 Senior Analyst, Deloitte & Touche AERS IPL (Hyderabad, India)

    ▪ Worked in Charlotte, NC (USA) for Deloitte & Touche LLP for 3 months on SOX assignment.
    ▪ Evaluated the design, effectiveness, and optimization of business controls and presented issues and recommendations to
    auditee’s management and audit committee.
    ▪ Identified various control optimization opportunities and included reassessing controls, implementing key control
    objectives, prepared internal audit reports, performed an ongoing follow-up of pending internal control and audit
    exceptions to ensure resolution within prescribed timeframes.

    Jul 2001 – Oct 2004 Articleship (Internal Audit), BDO Lodha & Co., Kolkata (Kolkata, India)

    ▪ Functional experience in performing internal and statutory audits, business processes reviews and improvements, risks
    analysis and cost controls across Telecom, Manufacturing, Healthcare, Media and Auto Ancillary companies

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