Navin Agarwal

About Navin Agarwal

With over 20 years of experience in asset management and fund services, I have led and contributed to global Internal Audit and Enterprise Risk functions across complex, regulated and multi-jurisdictional environments.My experience spans cross-functional business process audits, group-level thematic reviews, corporate governance evaluations, IT governance and disaster recovery assessments, and regulatory compliance oversight within asset management and fund administration operating models.Across my career, I have assessed operational, financial, compliance, and technology risk across front-office, operations, finance, fund accounting, HR, and support functions, providing an enterprise-wide perspective on control effectiveness and governance maturity. I have operated within regulated environments including AIFMD, UCITS, SEC, FCA, CBI, CIMA, BMA and other offshore regulatory regimes, contributing to assurance frameworks aligned with evolving supervisory expectations.Currently leading the India Global Internal Audit hub, I support risk-based audit planning and assurance delivery within a centralised audit model, strengthening governance, regulatory alignment, and control effectiveness across global entities. My responsibilities include contributing to enterprise-wide risk assessments and the development of rolling multi-year audit plans under Group oversight, as well as performing entity-level risk assessments, presenting annual audit plans for Board approval, and reporting to Risk Committees and governance forums.I hold the Certified Information Systems Auditor (CISA) credential and bring an integrated perspective across operational risk, regulatory compliance, corporate governance, and IT control environments.Areas of Expertise- Global Internal Audit Leadership & Centralised Audit Models- Enterprise Risk & Risk-Based Audit Planning- Asset Management & Alternative Investment Governance- Regulatory Compliance & Control Framework Oversight- Corporate Governance & Governance Forum Reporting- IT Governance, ITGC & Disaster Recovery- Control Design vs Operational EffectivenessI am particularly interested in strengthening governance clarity, enhancing accountability structures, and supporting informed decision-making within regulated financial services environments.I use this platform to share perspectives on internal audit maturity, governance effectiveness, and leadership in complex regulatory landscapes.

Experience

1. Senior Manager Internal Audit

   Waystone

   Nov 2024 — Present · Mumbai, IN

   Lead and manage the India-based Internal Audit team, while coordinating cross-location audit teams across global entities to deliver risk-based assurance within multi-jurisdictional asset management environments.Contribute to enterprise-wide risk assessments and the development of the rolling three-year risk-based Internal Audit Plan and present the plan for review and approval to the Board.Oversee execution of cross-functional business process audits covering front-office, fund administration, and operational functions, evaluating control design and operational effectiveness across complex operating models.Conduct group-level thematic audits including IT governance, disaster recovery, and corporate governance reviews, enhancing enterprise-wide visibility of governance and risk maturity.Prepare and update Internal Audit reports for senior management and governance forums, including Risk Committees and Boards, articulating key risk themes, control gaps, and remediation priorities.Participate in Risk Committee and Board discussions, supporting structured decision-making through risk-focused insights and assurance perspectives.Strengthen the centralised audit operating model by promoting methodology consistency, quality standards, and alignment with the IIA Global Internal Audit Standards (2024).

Education

• ICAI

  CA Inter, Accounts, Audit and Tax

  2002 — 2011

• Chinai College

  B. Com, Commerce

  1997 — 2002

Skills

• Internal Audit
• Audit
• Tax
• Auditing
• Management
• Internal Controls
• Ifrs
• Financial Reporting
• Accounting
• Financial Risk
• Risk Management
• Financial Accounting
• Sarbanes-Oxley Act
• Financial Analysis
• Mis
• Corporate Finance