Shilpa Mantri

· Led end-to-end audits across Commercial & Investment Banking (CIB) functions in APAC, EMEA, and NAMR, including Payment operations, FX, Derivatives, Collateral Management, Broker-Dealer Operations, Client Account Services, Securities Services & Markets Billing, Client Tax Operations, Asset Servicing and Custody Operations

· Led and executed global audits, certifications focusing on operational risk, control design, and process effectiveness.

· Managed a team of VPs and AVPs and provided oversight for audit led by them

· Prepared annual audit business plan for Markets Operations and Payment Operations based on risk based cycle of the audits

· Handled senior stakeholder relationships and performed continuous monitoring for Payment Operations and Markets operations portfolio

· Conducted independent validations of audit and management-identified issues, ensuring effective remediation and compliance with regulatory expectations.

· Performed risk assessments, control testing, and continuous monitoring to evaluate the adequacy and effectiveness of internal controls.

· Developed and presented MIS and audit insights to senior stakeholders, supporting risk-based decision-making.

· Handling statutory audits and regulatory audits/inspections for fund & coordinating with different teams and one point of contact for audit related matters for internal & external teams.

· Review of internal processes and documentation of process note for respective processes.

· Planning the annual statutory audits & half yearly audit work for timely completion of same.

· Preparation & review of Half yearly Portfolios, Half yearly financials & Annual report for Mutual fund schemes.

•· Preparation of documents for audit committee & board meetings presentations

• Led statutory audits of NBFCs, broker-dealers, primary dealers, mutual funds, and asset management companies with minimal supervision.
• Worked and led SOC1 and SSAE 16 audits covering internal controls reviews for Investment banking operations.
• Supervised and coached junior team members; ensured timely, high-quality deliverables while managing project budgets effectively.
• Ensured compliance with Ind AS, corporate governance standards, and regulatory requirements.
• Evaluated internal control environments, identified key financial and operational risks, and performed detailed substantive and analytical audit procedures