Rohan Monde

Experience

• 

  M.M. Nissim & Co.

  Sept 2011 - Sept 2013

  Articled assistant

  - Exposure in the banking sector for more than a year in articleship training.Worked in the broking, depository participant, treasury operations and trade finance centre departments of a private sector bank.- Audit experience of securities services operations, DP operations, custodial services operations of a foreign bank;- Half-yearly internal audits of stock-brokers, preparing & submitting reports to NSE, BSE & MCX-SX ; Review of client accounts opened (institutional and non-institutional) and documentation for KYC compliance, verifying transactions, review of internal control systems- Internal Audit of a BC (Business Correspondent) of various banks i.e. SBI, UBI, KVB for RBI's Financial Inclusion Plan - Statutory audits, along with tax audits of a stock broker, commodity broker, a NBFC, an HUF in the outdoor printing business عرض أقل

• 

  EY

  Sept 2013 - Aug 2018

  - Led a team at the audit of Securities Services and the Depository Participant (DP) operations at a foreign bank for areas including KYC/AML compliance, Regulatory reporting,verification of tax impact, Investment limit monitoring for FPIs, Corporate Actions announcements, CTLA function , CSGL operations, monthly billing activity for invoicing done correctly.- Reviewing the AML alerts investigated by the Bank - Reconciliation of outgoing SWIFT messages of a large Foreign Bank- Review of Credit Function of a foreign bank - Audit of of the largest custodian bank in the country - Review of DDP operations for FPI registrations - Audit of Treasury operations of a Foreign Bank - Verifying system access controls restrictions for onshore and offshore traders- Review and reporting of SME and Non SME operations of a leading Foreign Bank - Review of DEAF compliance as per RBI guidelines عرض أقل

  • Associate Consultant

    Oct 2015 - Aug 2018

  • Intern

    Sept 2013 - Sept 2015
• 

  KPMG

  Feb 2019 - Sept 2019

  Consultant

  Part of the FS - GRCS Team in Mumbai. Involved as a key execution team member at projects with stock brokers for SOP development and RCSA and Internal audits of NBFC

• 

  Protiviti

  Sept 2019 - now

  • Manager

    Jan 2023 - now

  • Deputy Manager

    Sept 2019 - Jan 2023