Shiv Mangal
AVP - Digital Risk
- Role
- Assistant Vice President - Digital Risk at 德意志银行
- Location
- Pune District, MH, IN
- LinkedIn followers
- 500 followers
About Shiv Mangal
Conducting Independence Compliance and Internal Audit for Big4 US Partners and managers with the US Independence policy and regulatory bodies such as SEC, AICPA for independence threat mitigation and conflicts of interestProcess consists of auditing complex sections of the financial statements of individual assesses as per SEC regulations and US independence policies and statutory requirements.Manage independently and perform audits end to end for self-reported process including service, loan, insider trading, insurance, securities matter.Understanding and interpretation of risk independence and Risk compliance using various database and checkpointResponsible for Independence audits (personal and scope of service) and other functions through which independent violations are identified and monitored. Help manage Org\'s Regulatory, Litigation and Reputational risk.Responsible for end-to-end Audit execution from scoping to issuing the audit report (3rd Line of Defense).Contribute designing controls, identifying risks, defining control test approach.Review and ensure quality delivery of ‘Completeness and Accuracy’, Test of Design (ToD) and Test of Operating Effectiveness (ToE), workpaper documentation, effective walkthroughs, process narratives and process flows. Perform risk analysis, finalize observations and work with Stakeholders in converting them in Audit findings.
Experience
Assistant Vice President - Digital Risk
Aug 2025 — Present · Pune, IN
Responsible for the delivery of the Applications Risk and Compliance initiatives across the GLOBE for all Private Bank’s technology data and innovation (TDI) practices and roadmap/ Coverage reporting / Cyber Hygiene POV. Participation in risk and control activities, risk based control reporting of key issues, validation of annual control assessments. Achieve coverage and compliance targets for IT security controls. Advise and support team Technology Data and Innovation Team of PB to build and maintain risk appetite for critical applications.
Education
AMITY University Gurgaon
PGDCA, IT Risk and Security
Manipal University Jaipur
MBA- Data Science, Analytics
University of Allahabad
BCA, Computer and Information Sciences and Support Services
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