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

00317976

PROFILE:

I am a seasoned Audit professional with more than 17 years of Audit experience in some of the largest financial institutions in the world. I have set up teams, lead as well as performed various audits, special investigations and QA reviews and have experience of managing regulatory relationships in Asia, Europe, Middle East and the United States.

CAREER HISTORY:

April 2019 – Present

Banking

Senior Audit Manager (Executive Director)

• Actively contributing to the wider strategic initiatives of the Internal Audit function including horizon scanning and continuous risk assessments.
• Updating the Audit Plan and providing quarterly insights to the Group Audit Committee and Executive Management.
• Responsible for execution and audit delivery/overseeing that audit teams comply with methodology and appropriately use the tools available and that risk based and controls based audits are delivered to quality, milestones and budget.
• Audits responsible for to date include: ICB Ring-Fencing, Conduct Risks in Complaints Handling & Management, AML/KYC, Front Office Behavioural Risk, Surveillance Monitoring, Brexit Readiness, Critical/Material Outsourcing Supply Chain Arrangements, Asset Transfer, Execution of Covid-19 Government Loan Schemes (I.e. CBILS, BBILS etc.).
• Responsible for recruitment and people/talent management responsibilities for the Commercial & Private Banking Audit team of 4 people (between Graduate and Audit Manager grade).
• Influencing senior management within the bank (from CEO-2 level down) to improve control environment.
• Monitoring business performance to check that open issues, identified by business/audit/regulators, are effectively monitored and resolved in a reasonable timeframe.

August 2016 - April 2019

Banking

Vice President Audit

• VP for Corporate & Investment Bank Compliance LOB, leading EMEA and Global KYC, Financial Crime/AML/Regulatory internal audits on; Wholesale Client Onboarding/ KYC, GFCC, Local Due Diligence (Country Uplift/ Appendix X), AML, Role and Responsibilities of MLRO/ DMLRO and Core Compliance (regulatory compliance/ advisory/ compliance monitoring testing).
• EMEA locations covered include Turkey, UAE, Qatar, UK, Germany, Russia, Ireland, Italy, Switzerland etc.
• Responsible for project management, creating annual audit plan & Risk Assessment activities
• Supervising, coaching, reviewing work papers/reports in line with methodology and leading audits for 8 people globally
• Working in close collaboration with Professional Practices Group (PPG) / QA to conduct EMEA QA reviews
• Attending various AMLOC (AML Oversight Committee) meetings and member of AML, KYC and Global Compliance Working Groups)

January 2013 - August 2016

Private Bank & Asset Management

Regional Audit Manager

• Deputising the Head of Audit, primarily responsible for the provision and managing of cross-functional and multi-location internal audits in accordance with professional standards.
• Managing day-to-day operations of private bank, asset management and wealth management audits and contributing to the development and implementation of IA department strategy (audit plan & Risk Assessment)
• Building robust stakeholder relationships with senior management across different organizational structures including coordination with internal (Risk Management, Compliance) and external (regulators, external auditors) control functions to ensure overall assurance activities are complimentary and provide cost effective coverage across the core business activities. Also, responsible for managing team of (guest) auditors from overseas.

Audits responsible for:

• Financial Crime Compliance & AML, KYC, Asset/Investment Management Services, Client Constraints/Restrictions, Single Customer View (FSCS/PRA Review), Transactions Monitoring, Anti-Bribery & Corruption, CASS, Client Services Team, LCM, Trust Administration (Singapore & Jersey), Cross Border Activities, Private Banking Front Office & Client On-Boarding, Human Resources, Independent Financial Advisors, Credit, Finance, Banking/Investment Operations, Treasury, Corporate Governance (including Strategy), IT/Technology Security.
• Committees:
• Preparing Audit Activity Reports for the Audit Committee and ad hoc attendance on behalf of the Head of Audit as required at UK and Channel Islands formal meetings (Audit and Risk Committee as well as Suitability Committee, TCF/Conduct Risk Committee and Training & Competence Committee).
• Tools/ Software used:
• InVision (Annual risk assessment), MARS (recommendation follow-up), MK Insight (Audit working papers); Costing & Invoicing for each audit entity on MS Excel; Globus (Banking system); Jupiter (CRO record management).
• Training courses attended:
• Fraud Awareness, QA methodology, AML, Conflict of Interest, BBA Compliance Culture, SMR, Market Abuse.

October 2007 – January 2013

Banking

Business Auditor (Associate/ AVP)

• Reporting directly to the Regional Head of Audit, responsible for conducting risk-based internal audits and inspection in accordance with the agreed Audit Plan and instructions.
• Responsible for planning and drafting audit planning memorandums; preparation of audit programmes; conducting, supervising and recording audit fieldwork; completing working papers; drafting issues log to be discussed with the business and Regional Head of Internal Audit; and issuing final report to the business.
• Responsible for managing, coaching and supervising teams of up to 3 auditors.

Tools/ Software used:

• KART (recommendation follow-up), RADAR (risk assessment), Sentry 2 (audit working papers), Olympic (Banking system), AAA (Investment Management system), Synergy (archive database).
• Audits responsible for:
• Portfolio Management, Investment Management, AML, KYC, Compliance, Financial Planning, Advisory & Structured Products, Group Reconciliation, File Rectification (FSA Arrow Review) Project Management, Group Credit, Regulatory Reporting, Banking Operations, Middle Office, Front Office Risk & Control, Regulatory Reporting, Accounts Payable & Expenses, Project FORCE & IMMUNE Implementation (anti-fraud and risk-awareness projects).
• Training courses attended:
• Effective Report Writing (Penni Fromm), Soft Skills, project FORCE (increased risk-awareness & transparency between clients and RMs), IMMUNE project, RDR, Anti-Bribery & Corruption.

March 2005 - September 2007

Big 4

Business Risk Services Executive

• Responsible for performing Internal and External Audits, Risk Management and Sarbanes Oxley engagements across various industry clients in UK, Europe and America, including leading multiple business process and controls transformation projects based on COSO guidelines and leading benchmarks.
• SME (Subject Matter Expert) on Q&A

Audits responsible for:

• Static Data (including Opening, Amendment, Closing and Instrument data), HR, Credit, Nostro & Intercompany Reconciliations, Payroll, Fixed Assets, Accounts Payable, Accounts Receivable, Treasury, Quality Assurance.

Training courses attended:

• Quality Documentation Standards, Sarbanes Oxley Methodology training courses, Introduction to Banking & Capital Markets, Risk Management, Influencing Strategies workshop.

July 2001 – February 2005

Audit Services

Project Auditor

• Working as an integral part of a team to perform internal audits exclusively for hospitals/ public sector all over UK. Responsibilities included drafting audit briefs and agreeing the same with clients, audit fieldwork, completing working papers on Price Waterhouse Cooper’s Team-Mate to comply with the requirements of the Company’s quality procedures, drafting reports, arranging exit meetings with clients and issuing final reports to the clients.

Software used include;

• Team Management systems, APTOS, Synergy and Business Objects.

External training courses attended;

• Interpersonal Effectiveness, Risk Based Internal Auditing, Financial Reporting, Fair Recruitment & Selection and MS Excel.

EDUCATION:

2018: ACAMS certified

2007: ACCA Member (2013, FCCA)

2001 – 2004: ACCA affiliate.

1997 -2000: Middlesex University Business School - BA (Hons) Accounting and Business Studies.

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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