Gaurang Gupta

About Gaurang Gupta

A competent professional with 23 years of experience in Internal Audit, Compliance Risk Management, FX Consent Order and LIBOR Consent Order remediation oversight, Sarbanes Oxley Compliance, and Operational Risk Management• Currently working with Goldman Sachs India Capital Markets as Executive Director. • Experience of working in Tier 1 Global Banks – Citi, J.P.Morgan, Bank of America and Barclays Bank. • Audit coverage for various asset classes within Global Markets businesses. • CAMS qualified expert in reviews of AML and KYC related controls• Sound understanding of Operational Risk Management and Manager Control Assessment activities• Proven experience in team management and regulatory engagements while working on global projects including Designated Market Activities Consent order remediation and LIBOR Transition projectsCore Competency includes -Audit Execution and ManagementGovernanceRegulatory Compliance and Consent Order remediation oversightOperational Risk ManagementProcess ImprovementResilience RiskFraud RiskInformation RiskStakeholder ManagementTransition ManagementTeam Management.

Experience

1. Executive Director

   Goldman Sachs

   Mar 2024 — Present · Mumbai, IN

   Part of Global Internal Audit team covering India Legal entities regulated by Reserve Bank of India (RBI) • Representing Internal Audit function in Audit Committee and Board Meetings of the Legal Entity • Detailed Entity Level Risk Assessment and GAP analysis to identify areas that need IA coverage • Formulation of Risk Based Audit Plan for the entity covering key regulatory expectations and key risks for the businesses in the entity and execution of the audits • Representing Internal Audit function in the regulatory inspections by RBI.

Education

• Maharaja Sayajirao University, Vadodara

  B.Com, Commerce

  1999 — 2002

• The Institute of Chartered Accountants of India

  CA

  1999 — 2003