Neha Bhasin

Neha Bhasin Pune, India |-| - | LinkedIn Profile [ https://www.linkedin.com/in/neha-bhasin-960b6bba/?trk=opento_sprofile_details ] PROFESSIONAL SUMMARY Chartered Accountant with 16 years of experience in finance, operational risk, and auditing, including leadership roles in investment banking and Big Four consulting. Proven expertise in SOX compliance, risk assessment, financial controls, internal audit and statutory audit with a focus on mitigating financial risks and enhancing operational efficiency. Skilled in leading cross-functional teams, enhancing financial reporting accuracy, and mitigating risks in complex financial environments. • • • • • • • • • CORE COMPETENCIES Financial Operations & Reporting Risk & Control Assessment SOX, BCBS239 & Regulatory Compliance Liquidity Funding and Capital Management Internal Audit & Governance Statutory Audits (IFRS, US GAAP, I GAAP) Stakeholder Collaboration & Advisory People Management Data Risk Management PROFESSIONAL EXPERIENCE Credit Suisse (UBS), Pune Director – Finance & Operational Risk May 2020 – Present • • • • • • • • • Led the Liquidity and Funding (L&F) risk and controls team, ensuring robust control governance across multiple frameworks, including SOX and BCBS 239. Spearhead risk assessment (RCSA) and control mapping processes, identifying and mitigating high-risk areas through effective controls. Collaborated with Regional Regulatory Reporting Teams across APAC, UK, and US, driving compliance and governance enhancements. Provided subject matter expertise (SME) in SOX, BCBS 239 compliance, risk, and control optimization/rationalization. Conducted pre-implementation reviews to evaluate controls and governance frameworks, ensuring compliance readiness and mitigating risks associated with new regulatory requirements. Drive remediation efforts for identified deficiencies, advising process owners on control enhancements. Supported teams in mapping controls to critical data elements (CDE) in alignment with BCBS 239 requirements. Provided training to stakeholders on the importance of control culture and governance, fostering a risk-aware mindset and strengthening overall compliance practices. Provided mentorship to team members on controls and compliance, offering guidance on best practices, and effective risk management to enhance their expertise and professional growth. Neha Bhasin Pune, India |-| - | LinkedIn Profile [ https://www.linkedin.com/in/neha-bhasin-960b6bba/?trk=opento_sprofile_details ] • • Played a key role in the execution of integration activities during the Credit Suisse (CS) and UBS merger, ensuring a smooth transition and risk alignment. o Conducted risk assessments of heritage CS L&F non-financial risk issues in line with the UBS framework, reviewing and challenging remediation plans and closure effectiveness. o Evaluated heritage CS key controls, determining the optimal integration path into the UBS framework, ensuring consistency and compliance with the merged entity's risk and control standards. Prepared and presented key metrics and dashboards to senior management and stakeholders. Key Achievement: Recognized with the Group CFO STAR Performance Award (Q4’2024) for outstanding dedication, exceptional contributions to integration activities, and exemplifying UBS’s three keys to success. Symantec India Private Limited, Pune Principal SOX Internal Auditor Feb 2018 – Apr 2020 • Directed SOX compliance efforts, ensuring financial processes met audit and regulatory standards. • Conducted risk assessments, materiality determination, and designed detailed testing plans. • Worked closely with external auditors and internal process owners for process walkthroughs and documentation. • Identify control gaps, recommend enhancements, and guide teams through deficiency remediation per SEC guidance. • Trained teams on internal control compliance processes, including self-assessments and documentation reviews. Key Achievement: Received the WOW Award for demonstrating outstanding performance and delivering exceptional results in the year of joining. KPMG, Pune Manager – Statutory Audit | KPMG | Oct 2015 – Jan 2018 • Led and executed statutory audits statutory audits for large group companies, mainly IT/ITES and manufacturing, ensuring compliance with Indian GAAP, IFRS, and US GAAP. • Managed a team of audit associates, overseeing financial statement audits, internal controls testing, and risk assessments. • Collaborated with CFOs, controllers, and audit committees to deliver audit findings and propose corrective actions. • Delivered value-added insights on financial reporting and operational controls. • Managed increasingly complex audit engagements, gaining expertise in handling diverse portfolios and driving process improvements. Neha Bhasin Pune, India |-| - | LinkedIn Profile [ https://www.linkedin.com/in/neha-bhasin-960b6bba/?trk=opento_sprofile_details ] • • Communicated relevant industry trends, developments, and key performance drivers to clients, demonstrating a deep understanding of their industry and marketplace. Provided training and mentorship to team members, enhancing audit quality and efficiency. PwC, Pune Manager – Statutory Audit | PwC | Apr 2015 – Sep 2015 Assistant Manager – Statutory Audit | PwC | Apr 2011 – Mar 2015 Associate – Statutory Audit | PwC | Sep 2009 – Mar 2011 • • • • • • • Led and executed statutory audits statutory audits for large group companies, mainly IT/ITES, ensuring compliance with Indian GAAP, IFRS, and US GAAP. Managed a team of audit associates, overseeing financial statement audits, internal controls testing, and risk assessments. Delivered value-added insights on financial reporting and operational controls. Developed and maintained strong working relationships with key business decision makers; regularly updated them on the firm's scope of services. Provide coaching, mentoring, and supervision to staff members to ensure audits are conducted in alignment with audit methodology, while reviewing audit work papers to confirm compliance with audit programs and firm standards. Conducting technical trainings on internal controls, risks assessment, monitoring / application / business cycle controls, accounting and IFRS. Heading the Balance Sheet Flux Analysis; analysing quarterly fluctuations in Balance Sheet Accounts; conducting root cause analysis of accounts having major fluctuations on a quarterly basis Key Achievement: Received the 5-Year Milestone Completion Award at PwC, recognizing dedication and commitment to delivering consistent high performance. EDUCATION & CERTIFICATIONS • Chartered Accountant (CA), Institute of Chartered Accountants of India (ICAI) – 2008 • B.Com., DAVV University, Indore – 2006