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

00325234

PROFILE:

ACCA-qualified Audit Professional with over 13 years of experience in auditing, risk-based assurance, regulatory compliance, and internal controls across the financial services sector. Proven track record of delivering comprehensive audit plans, evaluating operational and financial risk, and leading high-impact audit engagements. Expertise in internal control testing, audit lifecycle management, and regulatory reporting, with deep knowledge of FCA, SOX, and Basel compliance. Adept at audit documentation, stakeholder communication, and data analytics to support audit findings. Seeking to leverage expertise as an Internal Auditor.

SKILLS:

• Internal Audit Methodology & Audit Planning
• Risk-Based Auditing & Control Testing
• Regulatory Compliance (FCA, SOX, Basel)
• Financial, Operational & Compliance Audits
• Internal Controls Assessment & Risk Management
• Audit Reporting & Documentation
• Data Analysis for Audit Procedures
• Enterprise Risk Management (ERM)
• Stakeholder Engagement & Relationship Management
• Team Leadership & Audit Team Supervision

TECHNICAL:

• AuditBoard
• ACL Analytics
• TeamMate+
• SAP FICO
• Sage Line 50
• Oracle
• Microsoft Excel (Advanced)
• Visio
• SharePoint
• Tableau

CAREER HISTORY:

April 2023 – August 2025

Banking

Financial Control Analyst (EMEA)

• Designed and executed targeted audit procedures to assess control effectiveness and regulatory compliance. - Led risk assessments, audit planning, fieldwork execution, issue identification, and final reporting. - Identified internal control weaknesses and proposed remediation plans aligned with risk appetite and regulatory guidelines. - Delivered audit findings aligned with firmwide risk management frameworks (ERM) and audit standards. - Conducted compliance audits in high-risk areas: Third-Party Risk, Regulation W, Financial Reporting, Assets Under Custody and Recovery & Resolution. - Applied audit data analytics tools to identify anomalies, assess trends, and improve audit efficiency. - Ensured audit workpapers met internal audit standards and regulatory expectations.

September 2022 – March 2023

Electronics Company

European Internal Control Manager

• Directed SOX audits and control testing across EMEA in accordance with PCAOB and COSO frameworks. Reviewed internal controls over financial reporting (ICFR) and advised control owners on remediations. - Conducted risk-based audit reviews and presented results to senior leadership and audit committee. - Facilitated audit readiness and coordinated with external auditors on SOX compliance activities.

October 2019 – September 2022

Professional Services

SOX Audit Manager

• Managed external audit engagements for clients in banking and asset management. - Designed and led SOX audits and control evaluations for global financial institutions. - Directed audit teams in fieldwork, documentation review, and compliance testing. - Enhanced audit methodology by introducing quality review checkpoints and audit analytics. - Drafted audit reports and presented to audit committees and senior risk managers.

August 2019 – October 2019

Accountancy

Financial Controller | Financial Control Oversight

• Oversaw accounts payable, payroll, and general ledger reconciliations. - Conducted financial control assessments and supported audit preparedness.

September 2018 – June 2019

Business Management

Financial Controller

• Led the global finance function across 14 international subsidiaries. - Developed and implemented internal control frameworks; oversaw financial and operational risk reviews.
• Designed risk mitigation strategies aligned with global compliance policies.

July 2016 – August 2018

Social Services

Financial Controller

• Leading IDE UK’s financial management, accounting and Project finance function. Conducted audits, risk assessments, and field audits in Asia and Africa to ensure donor and regulatory compliance.
• Led control improvements across grant finance, procurement, and accounting operations.

EDUCATION:

• Certified Internal Auditor (CIA), Pursuing final certification
• ACCA Qualified Accountant, Qualified August 2018
• Diploma in Financial Planning, Chartered Insurance Institute
• BA in Law & Business Information Systems, University

PROFESSIONAL DEVELOPMENT:

• University (Online): Implementing Winning Strategies (2022)
• SAP FICO, Sage Line 50 Bookkeeping

VOLUNTARY LEADERSHIP:

November 2021 – Present

Primary School

Chair, Finance Committee

• Oversight of internal financial controls and governance. - Review and approval of internal audit reports and budgeting processes.

References Available Upon Request

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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