SRUSHTI JOSHI
Mumbai
Summary
Detail-oriented and analytical Chartered Accountant with a proven track record in audit and investigation within the financial sector, specifically within the National Stock Exchange (NSE). Possessing comprehensive knowledge of accounting principles, regulatory compliance, and risk assessment, seeking to leverage expertise in financial analysis, risk assessment, and investigation to contribute effectively to a dynamic audit or investigative team.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Deputy Manager – Investigation Department
NATIONAL STOCK EXCHANGE OF INDIA (Largest stock exchange in India )
08.2022 - Current
- Undertook preliminary examination and processed of 2000+ surveillance alerts across various industries to detect possible violation of regulations governing the securities market w.r.t Price manipulation, Volume manipulation, Insider Trading, Front Running, Pump and Dump and Circular Trading
- Prepared comprehensive reports detailing findings, conclusions, and recommendations for corrective actions and submitted them to respective regulatory authorities, law enforcements , and internal stakeholders for further examination
- Actively addressed complaints received from investors and members, including those referred by authorities and initiating further action, if warranted
- Achieved a milestone by understanding and generating and maintaining weekly/ monthly MIS in just 3 days’ time
- Played instrumental part in providing NOC for listing on Stock exchanges, IPO, Preferential allotment and others
- Conducted in-depth analysis of financial statements, trading data, and other relevant information to identify irregularities and patterns indicative of fraudulent activities
- Ensured smooth processing of PAN debarment based on SEBI orders and requests from authorities such as the Ministry of Finance (MOF) and Income Tax Department and effectively communicated debarment instructions to BSE, Trading Members (TMs), and depositories, ensuring compliance with regulatory directives
- Contributed to the development and enhancement of working models used for shortlisting of suspicious entities/trades
- Provided guidance and support to juniors, fostering a culture of accountability and continuous improvement.
Articled Assistant – Statutory Audit
RSM ASTUTE CONSULTING PRIVATE LIMITED
09.2017 - 03.2021
- Assisted in planning and executing statutory audits, GST audits and limited reviews for clients across various industries, ensuring compliance with regulatory standards
- Conducted substantive testing and analytical procedures to verify the accuracy and completeness of financial information, , identifying discrepancies and providing recommendations for improvement
- Prepared audit documentation, including work papers, schedules, and memos, to support audit findings and conclusions, ensuring thorough documentation of audit evidence
- Drafted financial statements, including balance sheets, income statements, and cash flow statements, ensuring statutory compliance and reporting
- Prepared results to be published on Indian stock exchanges for listed companies worth 300 Crores net worth
- Actively involved in Ind AS conversion ( IFRS Equivalent ) of over 100 companies engaged in the sector of power distribution, road, solar, MSW, water, transmission, etc
- Handled other Non Audit Assurance assignments such as Certifications for ensuring compliances of various clients
- Closely involved with the Partners for analyzing the data (such as key numbers, key contacts, rotation due, threshold for Ind AS, etc.) for pitching of the prospective clients.
Education
Pursuing -
ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS
01.2025
Chartered Accountancy -
INSTITUTE OF CHARTERED ACCOUNTANTS IN INDIA
05.2022
Bachelor of Commerce -
MUMBAI UNIVERSITY, INDIA
05.2018
Skills
- Surveillance techniques
- Research abilities
- Analytical thinking
- Problem-Solving
- Effective Communication
- Quick and Strategic Decisions
- Team Player
- Ability to work under pressure
Certification
- NCFM - Equity Derivatives
- Securities market
- Surveillance NISM - Machine Learning
Accomplishments
- Secured 3rd Position People’s choice for contributing my view’s intra state Maharashtra Government Competition in 2017
- Stood 2nd in College in BCom across 600 students in 2018.
Hobbies and Interests
- Swimming
- Cooking
- Reading
Languages
English
Advanced (C1)
Hindi
Upper intermediate (B2)
Marathi
Upper intermediate (B2)
Timeline
Deputy Manager – Investigation Department
NATIONAL STOCK EXCHANGE OF INDIA (Largest stock exchange in India )
08.2022 - Current
Articled Assistant – Statutory Audit
RSM ASTUTE CONSULTING PRIVATE LIMITED
09.2017 - 03.2021
- NCFM - Equity Derivatives
- Securities market
- Surveillance NISM - Machine Learning
Pursuing -
ASSOCIATION OF CHARTERED CERTIFIED ACCOUNTANTS
Chartered Accountancy -
INSTITUTE OF CHARTERED ACCOUNTANTS IN INDIA
Bachelor of Commerce -
MUMBAI UNIVERSITY, INDIA
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