If you are interested in this candidate, please contact Richard Lalchan via email rlalchan@cerfinancial.co.uk or call on 0207 626 6065.
00355607
PROFILE:
Results-driven Senior Internal Auditor delivering high-quality integrated audits across operational, and IT domains in regulated environments. Adept at identifying emerging risks, evaluating control effectiveness, and collaborating with global stakeholders. Areas of expertise:
Risk Assessment & Internal Controls| IT & Operational Audit | Regulatory Compliance | Change Transformation | Data Analytics | Team Leadership | Process Improvement
TECHNICAL:
TeamMate Analytics | Spotfire | SharePoint | UBS | XML | Microsoft Office Suite (Excel, Word, PowerPoint)
CAREER HISTORY:
May 2017 – August 2024
Financial Services
SENIOR INTERNAL AUDITOR
- Independently led the full audit lifecycle: scoping, fieldwork, reporting, and follow-up across business lines including Compliance, Financial Crime, Risk, and IT.
- Stayed current with PRA/FCA/EBA/ACPR/DFSA regulatory changes and reflected updates in audit scoping and execution.
- Collaborated directly with senior stakeholders, including CEO, Directors and Heads of Functions, to validate findings, agree remediation actions, and report on control effectiveness.
- Identified key control gaps and emerging risks, using data analytics to enhance the risk mitigation framework by 15%.
- Led business continuous monitoring by meeting with senior stakeholders to identify evolving risk exposures and adjust audit priorities accordingly.
- Provided performance reviews and mentorship to junior auditors, fostering technical growth and audit quality.
- Participated in annual Risk Assessment exercise in scoring audit universe and contributed to periodic MI and Audit Committee reporting.
- Key audit areas including but not limited to: Risk Management Framework, Operational Tax FATCA/CRS, Fraud and Bribery, IT Access Management, Operational Resilience and Third-Party Risk Management, Compliance Function, Private Banking (Financial Crime), Data Protection and Data Leakage.
May 2015 – May 2017
Technology
BUSINESS ANALYST
- Conducted IT compliance assessments and gap analyses aligned to airline industry regulations.
- Supported management decision-making with clear risk reporting and process insights.
- Contributed to Agile development by aligning control requirements with technical implementations.
March 2014 – May 2015
Advertising Agency
ACCOUNT MANAGER
- Managed financial operations, including budgeting, expenditure tracking, and performance analysis.
- Delivered high-quality client service, identifying business improvement opportunities.
January 2013 – July 2013
Financial Services
ASSISTANT HEAD OF DIGITAL MARKETING
EDUCATION:
- Business School | MSc in International Management – Telecom Foundation Scholarship
- University | Bachelor of Accounting (Hons) – Excellence Scholarship Award
- ACAMS Foundation Certification (2020)
- CISA (Certified Information Systems Auditor): On-going
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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