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Director – Internal Audit, Banking - £140,000

If you are interested in this candidate, please contact Andrew Wilson via email awilson@cerfinancial.co.uk or call on 0207 626 6065.

00218953

PROFILE

ACA qualified with two years external auditing experience and three years of internal audit experience. Clients specialise in the Financial Services sector, notably those in Banking, Insurance and the investment management industry with exposure to listed and privately owned companies, reporting under either IFRS or UK GAAP. Vast experience communicating with senior management, leading to a strong array of business knowledge and the development of a broad soft skillset.

EDUCATION

2014-2018: ICAEW-ACA

Qualified Accountant

2011-2014: Cass Business School, University

  • BSc (Hons) Accounting and Finance-2:1

2009-2011: College

  • A-level Maths A, Chemistry A, Biology B

2003-2009: Secondary School

  • GCSEs: A*-Maths and chemistry
  • A-Biology, ICT, Physics, History, French, Spanish

CAREER HISTORY

March 2017 - Present

Financial Services

Financial Services Internal Audit – Manager

  • I provide independent assurance to stakeholders with regards to the adequacy and effectiveness of the organisations internal control environment, using risk-based methodologies developed from professional auditing standards. Day to day activity included the identification of key risks, controls testing and making value added innovative recommendations to strengthen the internal control system.
  • My day to day roles include undertake audit planning, drafting scopes, meeting with key stakeholders, delivering audits, drafting reports, reviewing the work of juniors, presenting and preparing Audit Committee papers and performing hot reviews of audits completed by other Seniors and managers in the team. Furthermore I have helped draft proposal documents for potential clients whilst also pitching for new work.
  • I have a portfolio of clients within the Insurance and Banking industry which I manage and therefore I am the key contact for the relationship.
  • Selected for an ECB secondment on a project for a major UK challenger bank and its parent. I worked abroad for a period of three months focussing on the valuation used for an intangible asset.
  • Providing outsourced, co-sourced and ad hoc internal audit assignments for clients within the financial services industry including; insurance companies, reinsurance industry, wealth managers, brokers, banks and credit rating companies. I completed a variety of financial and operational audits for clients including reviews on delegated authorities, underwriting, pricing, credit control, outsourcing, investments, risk management, regulatory compliance, financial crime, MIFID II and transaction reporting.
  • As a Manager with experience in insurance and banking in the team I am tasked with training new graduates in using risk-based methodologies developed from professional auditing standards and supporting juniors through their audits. I am often the first port of call for all questions ranging from client management to test procedures. I am now also an appraiser for the new graduates guiding them through their first years at the organisation.

September 2014 - November 2016

Financial Services

Financial Services External Audit - Senior Associate

  • Banking clients: Major UK and international banks, private banks and banking groups.
  • Insurance clients: Major UK insurance company.
  • Investment management clients: Pension schemes, wealth management, asset management and investment funds.
  • Critically reviewing financial information and statutory accounts of Investment Funds, pension schemes and banks.
  • Carrying out both substantive and controls testing in areas which were deemed to be significant risk areas.
  • Carrying out SOX testing, to test the effectiveness of the internal controls implemented by clients.
  • Taking ownership of all walkthroughs with client of processes identified as a significant risk.
  • Managed workload and operational efficiency by monitoring progress of outsourced tasks to resources based in India.
  • Understanding complex business processes and operational risks.
  • Building client relationship at all levels.
  • Researching and understanding the key drivers and risks for various companies.
  • Analysing large data sets and communicating results in a simple format to clients and internal management.
  • Project management and working to tight deadlines.
  • Gaining technical knowledge and coaching junior staff.
  • Working and reporting under an evolving and dynamic regulatory environment.
  • Auditing under UK GAAP and IFRS.
  • Achievements: Selected for the ‘Learning with Leaders’ programme which teamed Partners with graduates for mentoring. Attended meetings alongside the Transaction Services Partner for many different clients in the mining industry, this gave me a brief introduction to corporate finance. Voted for by other managers as one of the highest achievers in my year based upon potential and quality of work of deliverables.

SKILLS

  • Project Management
  • Relationship management
  • Financial Services and regulatory knowledge
  • Assessing operational processes
  • Communication
  • Research and data analysis
  • Coaching and mentoring others
  • Working within large teams
  • Identifying key risks within an organisation
  • ACA Qualified Accountant
  • Financial services Audit Experience
  • MS Office, MS Excel, MS Word, MS PowerPoint

LANGUAGES

  • English, Punjabi, Spanish (Basic), French (Basic)

References Available Upon Request

If you are interested in this candidate, please contact Andrew Wilson via email awilson@cerfinancial.co.uk or call on 0207 626 6065.

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