ControlEra Technology Private Limited 1

Our Mission, Vision and Values

Values
We at ControlEra, uphold integrity,
Mission
excellence and client-centric solutions as At ControlEra, we provide
our core values, ensuring long-term cybersecurity, risk management,
security and resilience in all our and compliance solutions that
engagements protect digital assets and ensure
business resilience.
Our goal is to deliver innovative,
tailored services that help
businesses navigate and mitigate
evolving risks.
Vision
Through innovation and a relentless
commitment to excellence, ControlEra
aims to set new standards in risk
mitigation, helping businesses not only
survive but flourish in an increasingly
complex and interconnected world
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 Our Services

Risk Management Outsourcing Risk BCM IT/IS Governance,

and Consulting Management Implementation Risk & Compliance Trainings
(IT/IS GRC)

Cyber Security Audit Regulatory Compliance System Audit & VA/PT and
Controls Testing ISO 27001 Audits
Audit Source code Review

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Detailed Overview of Services

Risk Management and Outsourcing Risk BCM Implementation IT/IS Governance, Risk &
Consulting Management Compliance
• Create BCP Policy and (IT/IS GRC)
• Policy / Framework • Outsourcing policy/ framework framework
• Formulation/ Evaluation (FOS,ITOS,GOS) • Conduct BIA including • Define Governance Framework
• Create Comprehensive • Assisting in vendor lifecycle interdependencies involved in and guiding roles &
management
Processes / SOPs You can replace
delivering operations /services responsibilities
• Build Risk Library • Building database of vendors Prepare • Conduct Risk Assessment-
onboarded
•this text. Thismanagement
crisis is a plan
uncover vulnerabilities & threats
• Create Risk Metrics • Perform periodic BCP testing
• Perform Risk Assessments / • Risk categorization and materiality sample.dsss
• Document the testing records • Profile Compliance Requirements
Control Testing assessment of vendors • Review BCP Policy/ framework • Implement Controls Framework
• Prepare Risk Dashboard • Periodic risk assessment/Audit of based on learnings • Develop Actionable Policies
vendors

Cyber Security Audit RBI and System Audit and VA/PT and
Other Regulatory Audits Control Testing Source code Review
• Access Controls Review • IT Application Controls (ITAC) • Network-Based Vulnerability
• Cyber Security Frameworks in
• Network Security Audit • Application General Controls Assessment
Banks
• Penetration Testing (ITGC) • Application-Based Vulnerability
• Digital Payment Security
• SOC Review • Thematic Audits of Applications Assessment
Controls
• Patch Management Audit
• SEBI Cyber Security and Cyber • You can replace
Thematic Audit of IT/IS Processes • API-Based Vulnerability
• Change Management Audit
Resilience Framework Audit •this text. This isAudits
IT Infrastructure a Assessment
• IT Asset Management Review • Data Center Audits • Host-Based Vulnerability
• Cloud Security Assessment
• IRDAI Information and Cyber sample.dsss
Security Assessment, Assessment
• Firewall Rule Review • Wireless Network Vulnerability
• National Critical Information
• DLP Audit Assessment
Infrastructure Protection Centre
• Phishing Audits • Physical Vulnerability Assessment
(NCIIPC) Audit 4
Core Management Team

CO

Mr. Rupesh Kumar Mrs. Nidhi Mr. Anand Patil CA Vishal Jaiswal
Position Title
Srivastava Srivastava
Position Title Position Title

Founder & CEO Co-Founder & Director Vice President

Head Internal Affairs

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Our Clientele

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Professional Journey & Experience

 30 years of BFSI industry experience in Nationalized Bank, Private Sector Bank, Multinational Bank and Startup
Bank CO
 Professional qualifications : CISA, CISSP, CRISC, CeISB, CAIIB, ISO 9001:2008, ISO 27001:2005 Lead Auditor, ISO
22301 BCMS Lead Implementor
 Erstwhile member of IT Strategy Committee, IT Steering Committee, Information Security Council, Product
Evaluation and Architecture Review Committee, Risk Management Committee, Enterprise and Operational Risk
Management Committee
 Developed and implemented Technology Risk Management Framework, IS Audit Manual, IS Audit Policy, IT and IS
Standard Operating Procedures (SOPs), IT Risk Policies, IT Risk Standards and Risk Registers
 Information Technology and Information Security audit and setup experience in Information Security Architecture
and various domains like Core Banking, Credit Card, ATM, Mobile Banking, Email Management System, Data
Centre-Business Continuity Centre, Security Operations Centers (SOC),VA/PT, Infrastructure Audit, Third Party
Risk Management (Vendors)
 Conducted Information Systems & Security Architecture audit of Overseas Branches (Hong Kong, Shanghai &
Colombo)
 Expertise includes Application audit, Vulnerability Assessment of OS and DB, Effectiveness of BCP & DRP and IT
Service Management.
Mr. Rupesh Kumar Srivastava  Worked on all domains of Information security viz. Enterprise, Infrastructure, Application, Data Protection and
Privacy
Founder & CEO
 Strong working knowledge of Financial, Operational, Compliance and Systems Auditing Techniques
 Specialties: Developing Information Security Strategy
o Risk management process
o Expertise in review of Information Technology and Information Security Processes & Risk Control Matrix
o Incident Management process
o Information Security metrics
o Developing data protection and data privacy strategies
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Professional Journey & Experience
 Management graduate from premier B-school and certified risk professional having experience of more than 20
years across
CO diverse functional areas in financial services
 Professional qualifications : MMS (JBIMS), FRM (GARP, USA), MS Finance (ICFAI), M.Com, Diploma in Financial
Markets, Treasury & Risk Management (IIBF)
 Organizations worked in - YES Bank, Axis Bank, CRISIL, WNS, Capgemini
 Coverage across key Business areas
o Retail & Rural Banking, Wholesale Banking, Treasury, Trade / Transaction Banking – Trade / CMS, Cards
and Merchant Payments
o Financial Inclusion/ BCs, Capital / Securities Markets, IBU
 Extensive experience in all aspects
o Operational Risk Management
o Internal Financial Control/ Internal Control over Financial Reporting (IFC/ICOFR)
o Process Improvements/Control Reviews
o Business Continuity/ Resilience Management
o Vendor/Third Party Risk,
o Compliances & Regulatory Adherence
 Expertise includes
o Preparing comprehensive Risk Libraries and KRIs for business functions across banks
Mr. Anand Patil o Detailed review and control testing of products/ processes (RCSA / IFC) and applications (ITAC)
o Reviewing business processes for strengthening / improvements / automation
Director o Drafting / reviewing SOPs
o Reviewing BCP and carrying out Business Impact Analysis (BIA) of business functions/ processes
o Risk assessment of Vendors/ Third Parties (off-site / on-site)
o UAT testing/ implementation support – Governance/ Risk System

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Professional Journey & Experience

 As a Chartered Accountant and Management Consultant with over 5 years of specialized experience, I help mid-
CO
sized companies in regulated sectors achieve financial integrity and operational resilience
 My focus is on delivering high-impact audit, compliance, and risk management solutions that support long-term
growth and regulatory compliance
 Professional qualifications :
 Organizations worked in -
 Industries served:
o Manufacturing & Construction – Streamlining financial processes and ensuring compliance with
industry regulation
o Financial Services & Insurance – Risk-based audits, RCSA, vendor reviews, and policy development for
operational risk management
o Non-Profits & Trusts – Ensuring transparency and accountability through comprehensive audits and
financial reporting
 Expertise includes
o Audit & Compliance: Comprehensive statutory, tax, and internal audits, ensuring regulatory adherence
and clear financial reporting.
o Risk Management: Expertise in risk-based audits, RCSA, and IFC testing, developing risk frameworks
and policies for effective operational control.
CA Vishal Jaiswal o Internal Controls & Process Improvement: Enhancing internal controls, designing efficient financial
Vice President processes, and guiding policy and SOP development for stability.
o Policy Development: Experienced in creating operational risk management policies and tools for
financial services and insurance, tailored to industry standards.

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 Why Choose Us

CO

Subject Matter Expertise Strong Network Customized Solutions Timely Delivery Continuous Support
Start From $85.00 Start From $350.00 Start From $200.00 Start From $25.00 Start From $80.00

01 02 03 04 05

Dedicated professionals bring The team has well established We provide We understand the We believe in delivering, with
in significant experience and network/ connections with customized criticality and utmost integrity and sincerity,
understanding of various several professionals working solutions across urgency and hence innovative and customized
Banking domains/functions, in banks/ financial services Governance, Risk aim to deliver a solutions to help your
Technology Risk Management and specialized independent and Control areas robust risk organization navigate and
and Governance & consultants to deliver solutions management mitigate evolving risks on
Compliance areas as per client’s requirement solutions on time ongoing basis
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“ Insert
Risk comesa Bold
Statement
for not
knowing whatoryou

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Quote
are doing
- Warren Buffet

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Way Forward
Rupesh Kumar Srivastava Anand Patil
Founder & CEO Director

ControlEra Technology Pvt. Ltd. ControlEra Technology Pvt. Ltd.

306, Arenja Corner, Plot No. 71, 306, Arenja Corner, Plot No. 71,
Contact Us! Sector- 17, Vashi, Navi Mumbai,
Maharashtra 400703
Sector- 17, Vashi, Navi Mumbai,
Maharashtra 400703

Mob: +91 9920100327 Mob: +91 9819048560

Email: [email protected] Email: [email protected]

We are keen to discuss how ControlEra can support your unique needs
and streamline your regulatory/risk/compliance/governance processes.

Let’s schedule a time to connect and explore the possibilities.

Looking forward to the opportunity!

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Thank You
ControlEra Technology Pvt. Ltd.
306, Arenja Corner, Plot No. 71,
Sector- 17, Vashi, Navi Mumbai,
Maharashtra 400703

Tel: 022 4519 0033

Email : [email protected] 13