Dhaval Kumar Bhatt
Boca Raton,FL
Summary
Professional with over 8 years of Internal Audit and SOX experience in managing risk across business processes, industry sectors and geographies. Diverse experience in risk management ranging from Internal Audits, Financial Audits and SOX 404, SOC1 Reviews across the US, UK, South East Asia and India.
Overview
8
8
years of professional experience
Work History
Senior Consultant
Ernst Young US LLP
Boca Raton, FL
08.2022 - Current
- Extensive experience in developing, implementing and maintaining Sarbanes Oxley (SOX) compliant processes and procedures across the organization.
- Managed the organization's annual SOX compliance activities, including risk assessment, scoping, control testing and remediation.
- Coordinated with different business units to ensure understanding and implementation of SOX requirements.
- Determining systems in-scope, assessing appropriateness of design, and testing of their operating effectiveness for a multinational manufacturing brand.
- Led, supervised, and trained the internal SOX team, promoting a culture of high performance and continuous improvement.
- Created and reviewed internal audit planning memos, audit work programs, managed local and international testing teams and drafted and reviewed internal audit summary reports.
- Regularly evaluated, updated and tested SOX controls as business and regulatory requirements evolved.
- Reported SOX testing results and compliance issues to senior management and the audit committee.
- Improved operating efficiency and effectiveness by recommending changes in SOX control processes and also ensured the company's control documentation is accurate and updated.
Assistant Manager
Grant Thornton LLP
Bangalore, India
12.2020 - Current
- Led the GT Business Process team by managing a client portfolio of 7,500 hours
- Developed and managed project schedules, budgets & actuals and approach of Business process audits with complex control environments, alongside other client delivery
- Planned and managed several insurance and advisory audit projects including risk assessment, execution, and post remediation validation for audits that cover business process risks
- Provided mentorship, training and support to internal team members for continuous professional development and client partners as they address control deficiencies or make significant process change (e.g., implementation of new controls).
Senior
Ernst & Young LLP
Bangalore, India
08.2015 - 12.2020
- Lead a high performing team of 5 individuals in testing SOX 404 controls to assess the design and operating effectiveness of BP controls around processes such as Fixed Assets, Procure to Pay, Order to Cash and Payroll
- Worked in Surabaya, Indonesia for performing internal Audit, FCPA Audit and ICP (Internal Control Process) across the Procurement, Inventory, Revenue and Farmer Advances processes for a leading supplier of leaf tobacco merchant in the world
- Experienced in EY Boca Raton, United States, in a SOX 404 Compliance Project for a Professional Services company which included optimizing risk and control matrix, Dealer Operations, Job Costing and Order to Cash Processes.
Education
CISA Certified - Information Technology
CISA
Boca Raton, FL07.2023
Executive Program in General Management -
Indian School of Business
09.2018
Bachelors in Commerce (B.com) -
Jain University
05.2015
Skills
- Internal Audit
- SOX 404
- Advisory Reviews
- Standard Operating Procedures
- ITGC Testing
- Strong Leadership Skills
- Business Development
- Employee Supervision
- Project Management
Websites
Accomplishments
- Bravo Awards - Awarded for exceeding expectations on client service delivery
- EY Culture Coin - Awarded for living the EY Values and Culture
- Direct Onsite Recognition - Awarded Direct Onsite Recognition Award on multiple engagements for building client relationships and exceptional service delivery
- Kudos Award - Awarded for outstanding contribution, commitment and for going the "extra mile" to deliver excellence in all endeavours
- Extra Miler and Spot Award - Awarded for coaching team members with effective teaming and service deliverables
Initiatives
- Part of the Process Mining team which analysed data in enterprise application event logs in order to learn how the Accounts Payable process is working.
- Conducted technical round interviews for Analysts/Associates/Senior Associates and Assistant Managers for the controls Advisory team.
- Conducted training for all Analysts/Associates/Senior Associates and Assistant Managers on IPE and other Business Processes.
- Conducted and organised team building activities like Off-sites, IA connect day, CSR activities and year end parties.
Personal Information
Title: Internal Audit Senior Consultant
Hobbies and Interests
- Exploring Distant Lands
- Capturing Moments
- Feeling the Music
Timeline
Senior Consultant
Ernst Young US LLP
08.2022 - Current
Assistant Manager
Grant Thornton LLP
12.2020 - Current
Senior
Ernst & Young LLP
08.2015 - 12.2020
CISA Certified - Information Technology
CISA
Executive Program in General Management -
Indian School of Business
Bachelors in Commerce (B.com) -
Jain University