At Kirtane & Pandit, our Derivative Process Audits Advisory practice for BFSI & NBFCs is designed to support organisations in evaluating derivative-related processes, operational controls, documentation frameworks, and financial reporting mechanisms within increasingly complex financial ecosystems.
We work with banks, NBFCs, treasury functions, and regulated financial entities to assess derivative transaction environments, strengthen process governance, improve compliance visibility, and support accurate reporting aligned with evolving regulatory and risk management expectations.
What we do
Our Derivative Process Audit engagements are designed to support organisations across derivative operations, financial controls, compliance oversight, and reporting-related requirements.
- Derivative process and transaction flow reviews.
- Assessment of controls across derivative operations and reporting mechanisms.
- Review of derivative-related documentation and governance frameworks.
- Compliance-aligned evaluations across treasury and derivative environments.
- Risk visibility assessments related to derivative transactions and exposures.
- Financial reporting and accounting process reviews for derivative operations.
- Operational control evaluations across derivative lifecycle activities.
- Advisory support for strengthening governance and process efficiency across derivative environments.
How the engagement works
Every Kirtane & Pandit engagement is aligned to the organisation’s treasury operations, derivative structures, regulatory environment, and financial risk exposure areas.
Our approach combines transaction-level evaluations, governance-focused review methodologies, operational process analysis, and control environment assessments to support organisations in strengthening derivative oversight, improving reporting accuracy, and enhancing operational resilience across financial market activities.
Derivative process and control evaluation
Assessment methodologies designed to review transaction workflows, operational controls, documentation practices, and reporting mechanisms across derivative environments.
Financial and regulatory alignment
Structured evaluations aligned with accounting standards, compliance obligations, treasury governance requirements, and evolving regulatory expectations.
Risk visibility and operational oversight
Review frameworks supporting exposure visibility, process accountability, operational efficiency, and governance aligned with risk management across derivative activities.
General questions
01 How do I scope this engagement?
Reach out and we’ll arrange a 30-minute scoping call with the lead partner — no commitment, no obligation.
02 How quickly can you mobilise?
Most engagements can be staffed within 2–3 weeks of engagement letter signing. Expedited transitions for time-bound matters have been completed in under 10 working days.
03 How do you charge?
Most work is fee-quoted up front based on scope. For longer-running mandates we offer annual retainers and hybrid models.