1. CA SACHIN KUMAR GUPTA
Address: I. P. Extension, Delhi-92, India| Mobile: +91-9818590480
Email: ca.sachin_gupta@yahoo.com| DOB: 02nd
February, 1983 (Age: 33 Years)
Key Skills (Designation: Senior Manager-Internal Audit, SOX Compliance & Finance)
Internal Audit/Risk Assessment for all branches/Factory (Pan India and Other
International Location)
ICFR testing to ensure internal control over financial reporting as mandated by company Act
SOX Compliances adhering representation letters etc. as per SOX section s302/s404
SOX Gap Assessment to ensure control design by process walkthrough
SOX testing to ensure controls effectiveness of various cycles at Annual basis
Process documentation to update process document time to time
Special projects assigned on Investigation of Frauds/Ethics & compliance (ECO)
Planning & preparation of Annual audit plan with Budget, audit programme, pre analysis of
data, Conducting fieldwork in SAP environment, Process review, Audit Finding, Discussion with
auditee/process owner, drafting report with recommendations, circulation for management
response, Raising ESOX ticket, Presenting final report in board meeting, performing follow-up
review to ensure implementation of mitigating controls, Special Frauds/Ethics Investigation
Career Objective
Aspiring for career enriching assignments in Internal Audit, Internal control, SOX Compliances and
Finance & Accounts with an organization of high repute (India/International)
Professional Synopsis
 Chartered Accountant with 8.5 years’ experience in the area of Internal Audit, Internal
control/Risk Assessment, SOX GAP assessment, SOX Testing & other compliances (Section
302/404), Process Documentation, ICFR Testing as required by companies Act, other Finance
work to ensure Control Design and operating effectiveness of controls
 Currently working with United Technologies Corporation, Gurgaon [A UTC Group co., USA]
as Senior Manager handling Internal Audit (Asia Pacific) & SOX compliances for multiple
entities Carrier Airconditioning (Manufacturing/Trading), Carrier Race technologies, Chubb
Alba (System Integration-Project related) and trading business of Toshiba
 Worked with HCL Infosystem Ltd; Noida as an Assistant Manager-Global Audit
 Worked with National Stock Exchange of India Ltd; Delhi (A leading stock exchange in
India, NSE) as an Assistant Manager handled Inspection/Audit of Stock Brokers.
 Possess excellent working knowledge of SAP, MS Office, Outlook, Lotus Notes etc.
Carrier Air-Conditioning & Refrigeration Limited, Gurgaon
[A United Technologies Group (UTC), USA]
Manager-Internal Control & SOX Compliance Jan' 2013- March, 2016
Sr. Manager-Internal Control & SOX Compliance since April, 2016
Work Experience
Carrier Air-Conditioning & Refrigeration Limited is world’s leader in high-technology heating, air-
conditioning and refrigeration solutions. Carrier is a part of UTC Climate, Controls & Security, a unit of
United Technologies Corporation, leading provider to aerospace and building systems industries worldwide
Corporate/Branch Audit (ASIA Pacific-Global Audit): Reporting to AD-Finance
 Planning & preparation of Annual audit plan with Budget, audit programme, pre analysis of
data, Conducting fieldwork in SAP environment, Process review, Audit Finding, Discussion with
auditee/process owner, drafting report with recommendations, circulation for management
response, Raising ESOX ticket, Presenting final report in board meeting, performing follow-up
review to ensure implementation of mitigating controls
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2.  Conducting Internal Audit of 17 Branches (PAN India) and other International location like
Vietnam etc. in SAP environment covering areas like Revenue, Expenditure, Company level
controls, Production, Financial reporting etc. including sales, service, warranty, admin etc.
 Conducted Factory audit like Store Audit, Procurement, Sales Incentive, Vendor Management,
Customer master, Shared service center, Finance, Fixed Assets, Inventory Management etc.
 Prepare meaningful, clear and concise reporting of audit findings and recommendations
 Communicate audit findings to financial controller and respective branch auditees/BUH
 Presenting Internal audit/SOX reports in Board meeting on periodic basis
 Follow up with BUH for implementation of controls within timelines
 Special projects assigned on Investigation of Frauds/Ethics & compliance (ECO)
SOX (Sarbanes Oxley Act)
 ICFR Testing-Internal control over financial reporting (As per Regulatory mandate of companies
act 2013 to ensure IFC system are operating effective)
 SOX GAP Assessment of different entities includes Carrier Airconditioning & Refrigeration Ltd.,
Kidde India Ltd., Chubb Alba Control Systems Limited and Carrier Race technologies (P) Ltd.
 Quarterly/Annual reporting of SOX compliances in adherence with S-302/404, Quarterly Change
in Internal Control (QCIC), Contingencies and other update to Regional Head Quarters (RHQ)
 SOX Testing of control activities to ensure control design assessments and operating
effectiveness of controls for all functions (Production, Payroll, FR, Revenue, Expenditure etc.) of
the organization, Finding gaps & Interacting with process owner to implement controls
 Raising SOXA issue ticket related to control lapses observed during internal control GAP
assessment & control testing in ESOX web portal, follow up for their timely closure
 Updating process documentation on various cycles annually in line with company policy
 Preparing presentation on SOX/Internal Audit gaps on periodic basis
Training Atended
 Training on Internal Audit by IIA (Institute of Internal Auditor, India)
 Online certifications (Intranet) on Ethical awareness, FCPA, Ombudsman, Antitrust etc.
Significant Achievement
 Received Star Employee award (Mar 16 & July 15), Functional excellence Award “Process
Engineers” (Dec, 2014), Star Team (July 2014) & Asia Superstar award (Year 2013)
HCL Infosystem Ltd., Noida Since June' 2011
Assistant Manager-Internal Audit
HCL Infosystem Ltd. is India´s premier hardware, services and ICT systems Integration Company
that deals in Computing, Networking, Retails, Distribution, Education, Service and Support with Its
presence in India, Dubai, South Africa and Singapore having group turnover of US$ 6 Billion
Roles (Reporting to HOD-Internal Audit):
 Planning & preparation of audit programme, Business understanding from process owners,
Conducting fieldwork, Summarizing observations, Discussion of draft report with appropriate
recommendations and Performing follow-up review to ensure implementation of the action plan
 Conducting Internal Audit in SAP environment across HCL groups covering Finance & Accounts,
Procurement, HR, Admin, FA, Temporary Manpower, Vouching, Insurance, Inventory etc.
 Drafting Report & submitting it to Head of Department (Internal Audit)
 Assisting Head of Department in summarizing reports for Audit Committee
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3.  Participating in Presenting Report before Pre Audit Committee and Follow up/Review for process
implementation
Significant Achievement:
 Detected Fraud in Procurement Function & Finance
National Stock Exchange of India Ltd, Delhi
Assistant Manager - Inspection Department June' 2010 - May' 2011
Senior Executive Officer- Inspection Department Nov' 2008 - May' 2010
National Stock Exchange of India Ltd (NSE) is leading stock exchange in the India. It has set a
sophisticated trading, clearing & settlement platform as a role model for the securities industry
Roles (Reporting to Manager):
 Ensure compliances of stock brokers in adherence to rules & regulations of Exchange, Provision
of Anti Money laundering (AML), SEBI & other regulatory bodies;
 Detailed inspection of Books of accounts, Trades Executed, Contract Notes, Margin, NCFM
Certificates and KYC compliances etc
 Surprise Inspection to ascertain existing of Dabba Trading (Cash Transactions)
 Prepared weekly/Monthly MIS to the management
 Conducted Multiple workshop on Compliances for Stock Brokers
Significant Achievement:
 Penalty Imposed/Warning Letter issued to Various Stock Brokers
V. V. Kale & Company (CA Firm), Delhi
Audit Manager - Internal Audit Jan' 2008–Oct' 2008
Audit In charge - Internal Audit Jan' 2007–Dec' 2007
Roles:
 Conducted Multiple assignments of Internal Audit, Statutory Audit, Inventory Management,
Project work across various Industries
 Efficiently managed the Internal Audit Team consisting of more than 5 members
Project Work (May 2007)
 Hindustan Coca-Cola Beverages (P) Ltd:
• Project Work includes price Negotiation, Procurement of Mango, payment to
Vendors/Farmers and delivered at JISL, Chittor (AP) for Hindustan Coca Cola Beverage.
• Submission of various Reports & MIS to Management of Hindustan Coca Cola Beverage
Significant Achievement:
 Recognised for Best Project work from Hindustan Coca Cola Beverage (P) Ltd.
 Cash Reward for Best Audit Work from Mr. V.V. Kale (Managing Partner)
Educational Background
 Chartered Accountant from ICAI, November’2007
 Bachelor in Commerce (B.COM-A/c Hon’s) in 2003
IT Skills
 Conversant with SAP (Using various Tables), MS Office, Outlook, Lotus Notes etc.
Personal Profile
Father’s Name : Late Vishwnath Prasad Gupta
Gender : Male
Marital Status : Married
Nationality : Indian
Languages Known : English, Hindi
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4. (Sachin Kr. Gupta)
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