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

00269126

PROFILE:

I am a highly competent and dynamic professional with a wide experience in managing and executing Governance, Audit, Risk and Compliance projects with top-tier banks, in the UK and EMEA region. I have a Master’s degree in Audit for banking, a Master’s degree in Risk Management and a University degree in computer science. I have strong knowledge of banking, project management, business digital transformation, internal audit, compliance, risk management and financial controlling.

CAREER HISTORY:

June 2017– Present

Banking

Group Internal Audit –Regulation, Compliance and CEO

Audit Critical Finding Validation on below topics:

• FCA and PRA Senior Managers and Certification Regime
• Conflict of Interests –Employee Outside Business Interests
• Employee Annual Attestation

Bafin Commitments on:

• Consumer Protection
• Marisk Assessment
• MarComp Risk Assessment
• Global Regulatory Reporting
• Global Audit Channel Island Compliance

June 2009 – April 2017

Banking

January – April 2017

Compliance Officer for Financial Sanctions

• Identify optimization of the processes of Compliance Financial Sanctions focusing on digital transformation

January 2016 – December 2016

Performance MGMT & Process Optimization

• Coordination & Monitoring of 13 projects on digital business and optimization of the processes cross the bank.
• Resource Management , Mapping and definition of corporate title for 1600 FTEs cross the bank in compliance with Global Job Catalogue.

January 2014 – December 2015

Compliance Officer for Corporate Investment

Desk reviews cross the bank on the following topics:

• Management, Organization & Governance
• Segregation of duties, Personal Dealing and Trader Mandate
• Record keeping, Transaction Reporting and Post Trade Transparency (PTT)
• Market Abuse - Insider List & Restricted List.
• MIFID Law - Classification of clients, Execution and Transmission Policy
• Monitoring and testing of AML/Financial Sanctions, Bribery and Anticorruption, Conflict of Interests (COI).

January 2013 – December 2013

Banking

Internal Auditor

• Performing continuous monitoring of assigned risk entities and supporting risk assessments for forming an opinion on the audit plan
• Executing and delivering audit for Market Risks engagements to the required methodology standards and within certain timelines and budget required
• In charge of different initiatives within my department to streamline processes and optimize audit approach

January 2012 – January 2013

Group Audit for Administrative Processes & Operational Risks

• Executing and delivering audit engagements for Operational Risks (i.e. testing of internal controls implemented by ORM function, Loss and reporting data collection process, scenario analysis)
• Executing and delivering audit on roll out of AMA (Advanced Measurement Approach) for the management of operational risks, under BASEL II cross the bank
• Advising the business during the implementation of Operational Risk Information System (ORIS ) on testing of internal and external data, scenario analysis and KPIs, Data quality, Collection, Storage and completeness

April 2011 – December 2011

Retail Branch Auditor

• Executing and delivering audit engagements in retail branches cross Italy (i.e. control of all operations of the branch from cashdrawer to the director of the branch, credit audit on loans, mortgages issued by the branch, KYC procedures in place, client’s transparency)

June 2009 – March 2011

Retail Customer Consultant

• Consulting to retail customers on all retail bank products (current accounts, debit and credit cards, loans and mortgages)

March 2007 – June 2009

Customer Consultant

• Consulting to retail customers through direct multi channels of the bank

September 2006 – February 2007

Tech

Stream SpA

• Help Desk – providing technical support to all Hewlett Packard clients on IT issuees (computers, laptop)

April 2005 – September 2005

University

Tester of Metric Tools

• Testing the quality of software using Metric tools

April 2002 – October 2003

Telecommunications

Office Manager

EDUCATION:

September 2011 - June 2012

Master in Risk Management

University « L. Bocconi - School of Management » Certificate for UniCredit Risk Academy.

Risk Diploma Path (Core Curriculum and two Master Classes):

• 1-The ICAAP Process in UniCredit Group
• 2-Credit Risk Management Architecture, Policies and Strategies of UniCredit Group

May 2009 – May 2010

Master in internal Auditing Controller in Bank.

University in Collaboration with Association of Italian Internal Auditors.

November 2001 – April 2009: University

Bachelor’s degree in Computer Sciences

LANGUAGES:

• English - fluent
• Italian – 2nd Mother language
• Albanian – 1st Mother language

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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