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

00357731

PROFILE:

Big 4-trained Chartered Accountant (FCA) specializing in in internal audit, risk management, and compliance across major financial institutions including three major international banks and a top US payment card business. Proficient in risk-based audit methodologies, SOX testing, and AML frameworks. Adept at identifying control weaknesses, recommending practical improvements, and working with senior stakeholders to enhance governance and operational efficiency. Experienced in leveraging audit technologies to deliver efficient and insightful audit outcomes. Seeking a mid-level Internal Auditor role (contract or permanent) within financial services or corporate audit functions.

SKILLS:

• Internal Audit Planning & Execution
• Risk Assessment & Control Evaluation
• SOX Documentation & Compliance Testing
• Anti-Money Laundering (AML) & KYC Audits
• Operational & Financial Audit Delivery
• Regulatory Compliance & Governance
• Audit Reporting & Issue Remediation
• Stakeholder Engagement & Communication
• Process Improvement & Change Management
• Data Analytics & Audit Automation

CAREER HISTORY:

2016 – Present

Contractor delivering internal audit and risk management reviews to SMEs to strengthen financial and operational environments.

• Introduced process automation and audit technology tools to reduce manual processing errors by 85%.
• Delivered internal audits across Global Services EMEA covering AML, compliance, and operational controls.
• Presented audit findings and risk assessments to senior management.
• Acted as AML subject matter expert and provided training to junior auditors.

2014 – 2015: Sabbatical

2010 – 2013

Banking

Associate Audit Director

• Led audits within AML, Compliance, and Middle Office functions.
• Designed annual audit plans and risk universes aligned with regulatory expectations.
• Collaborated with global audit teams across EMEA to ensure consistent coverage and issue tracking.
• Delivered reports highlighting key control weaknesses and cost-effective remediation measures.

2009 – 2010

Banking

Senior Auditor

• Planned and executed internal audits across financial and operational areas.
• Drafted audit findings and collaborated with management to implement action plans.
• Improved control design efficiency and reduced audit turnaround time by 15%.

2007 – 2010

Banking

Line Manager & Operational Risk Manager

• Managed a team of six in the Mutual and Hedge Funds division overseeing control assessments and risk reviews.
• Developed SOX-compliant control frameworks for new middle-office functions.
• Reported key risk metrics to senior management and monitored remediation activities.

2007

Banking

Compliance Manager (AML – Fixed Term)

• Created the AML Risk Rating Matrix and High-Risk Account policy for global operations.
• Partnered with international teams to ensure consistent policy rollout and compliance.
• Supported the design of AML training materials for frontline staff.

2005 – 2007

Big 4

Senior Auditor-Financial Services

• Performed audits for financial services clients, documenting controls and identifying deficiencies.
• Recommended enhancements to strengthen governance and risk management frameworks.

2001 – 2005

Big 4

Audit Trainee / Senior Auditor-Financial Services

• Completed ACA qualification while auditing financial institutions and fund clients.
• Conducted AML audits and provided process improvement insights to clients.

EDUCATION:

• FCA (ICAEW) – 2017
• BA (Hons) Accounting – 2000
• Xero & Receipt Bank Certification – 2019
• Ongoing professional development in audit data analytics and emerging audit technologies.

PROFESSIONAL MEMBERSHIPS:

• Institute of Chartered Accountants in England and Wales (ICAEW)
• Intending to join Chartered Institute of Internal Auditors (UK & Ireland)

TECHNICAL:

• TeamMate, SAP, Xero, Navision, Excel, PowerPoint, Word, Data Analytics Tools

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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