Vijay Bala

Profile Summary

A focused, capable, and articulate Compliance and Audit professional with 17 years of proven experience ensuring that audits are executed to the highest professional and regulatory standards.

Skilled at anticipating, identifying, and managing business risks, with the ability to design and implement effective risk mitigation strategies.

Experienced in advising financial controllers and senior management on internal controls and process improvements, while developing best practices through steering committees, training programs, and consulting services to enhance operational efficiency.

Strong expertise in reviewing audit summaries for accuracy and completeness, with key strengths in executing robust audit plans, developing audit strategies, and managing large-scale audit assignments.

Demonstrated ability in documenting, testing, evaluating, and monitoring Internal Controls over Financial Reporting and Disclosure Controls and Procedures to ensure compliance with established regulatory frameworks.

Career Timeline

2017 – 2025: London Stock Exchange Group: Senior Manager – Business Risk & Internal Controls, led SOX 404 audits, developed frameworks, and embedded compliance culture.

2011 – 2016: Refinitiv: Manager – Corporate Compliance & Audit, directed SOX strategy, designed controls, and implemented risk mitigation initiatives.

2015 – 2016: Founder & Managing Director, established and scaled an e‑gift registry platform with premium solutions.

2009 – 2011: SAP India Pvt Ltd. Risk Manager – Global Governance, Risk & Compliance, co‑led SOX central project and improved audit efficiency.

2005 – 2009: Hewlett-Packard: Internal Audit Specialist, managed audits and supported financial services compliance.

2000 – 2005: Hewlett-Packard: Lead – Asset Management, transitioned fixed asset migration and supported corporate audits and payroll.

2000: Arthur Andersen: Staff Accountant – Tax & Business Advisory, conducted due diligence reviews for multinational clients.

Education & Certifications
- B.Com, St. Joseph’s College of Commerce, Bangalore University (2000)
- Certified Internal Auditor (CIA), IIA USA (2008, renewed 2019)

-IFRS Certificate Program, AICPA (2011 & 2018)
- ACL Certified (2007)
- Six Sigma Green Belt (2004)