If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.

00356034

PROFILE:

Chartered Accountant (ACA) with extensive experience in external audit, assurance, and tax within big four (PwC and Deloitte). Proven ability to assess internal control frameworks (COSO), identify process inefficiencies, and recommend actionable improvements. Skilled in risk assessment, regulatory compliance, financial reporting under IFRS, UK GAAP and stakeholder communication.

Audit experience spanning across Banks, Private Equity Companies, Asset Management Companies, Investment Banks, Insurance Companies (Non-Life), Pensions and Mutual Funds. Audited accounts for firms with revenues ranging from £100k up to £1bn.

SKILLS:

Internal Controls Assessment | Risk Management & Compliance | CASS | Business Process Documentation | Financial Reporting | Regulatory Compliance | Stakeholder Management | Audit Planning & Execution | Team Leadership & Staff Supervision | Data Analysis (Excel/ERP tools)

Excellent oral and written communication skills to support the development of high-quality reports and presentations to senior stakeholders. Ability to absorb information, analyse problems and make objective decisions. Ability to work to tight deadlines. Strong interpersonal and influencing skills.

TECHNICAL:

• Excel | PowerPoint | Word | ERP Systems - SAP & Quickbooks | Audit Tools - Omnia, Aura

ACHIEVEMENTS:

• Deployed a cloud based engagement management system for Deloitte
• Set up the automation of bank confirmation of the investments owned by the funds within PwC to drive efficiencies and reduce waiting times
• Spotted erroneous consolidated draft account/Trial Balance prepared by the finance team during the General Ledger integrity checks before PwC signed accounts saving the firm from potential reputational damage.

CAREER HISTORY:

August 2024 – July 2025

Professional Services

Senior Associate (External Audit) – Financial Service Unit

• Conducted walkthroughs to understand, document and evaluate key processes across business functions
• Carried out detailed substantive procedures through review of account balances
• Evaluated the design of key controls and, where appropriate, provide corrective actions and process improvement.
• Evaluated the adequacy and effectiveness of internal controls including SOC, identifying key issues and providing solutions to resolve
• I assessed the compliance of asset management companies against UK CASS rules.
• Assessed the quarterly correspondence including forms with FCA for CASS compliance
• Reviewed all relevant agreements the asset manager has with relevant parties for CASS compliance
• Check the complaints and breach register (if any) for CASS compliance
• Reviewed the board minutes for potential CASS matter
• Team lead on the planning, execution and conclusion of various audit work for asset management companies and insurance entities
• Fulfilled manager’s role for 2 months upon their resignation helping the team to maintain stability and achieve targets Prepared comprehensive reporting, presentations and audit committee papers to Senior Managers, Directors and Partners, developed and maintained strong relationships with senior stakeholders, team members and clients
• Responsible for on-field team activities, coaching and supervision of both offshore and onshore team members
• Liaise with fund administrators on behalf of clients
• Review of complex accounting areas such as Level 3 investments for private equity firms and IBNR for insurance entities
• Examination of company’s financial statements to ensure they have been prepared in line with the relevant International Financial Reporting Standards (IFRSs), changes in laws, regulations, and industry best practices

January 2019 – March 2024

Financial Services

Assistant Manager (External Audit)

• Team lead on the planning, execution and conclusion of various audit work
• Led engagements across asset management, investment banking, pensions, and insurance.
• Evaluated the Internal control system of companies to resolve issues and provide recommendations for improvement
• Spearheaded implementation of a cloud based audit tool for project management
• Supported the team for the audit testing of financial institutions
• Responsible for testing the loan balances to assess for IFRS 9 impairment, classification and default.

September 2016 – December 2018

Financial Services

Tax Associate Tax & Regulatory Service

• Conducted due diligence for companies engaged in Mergers and acquisition
• Handled Company Income Tax compliance and monthly Value Added Tax filings for clients

EDUCATION:

2021: Institute of Chartered Accountant

Associate Chartered Accountant (ACA)

2013: University

BSc. Accounting (Second Class Upper Division)

If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.

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