SUMMARY:

• Qualified accountant for over 5 years and having continued professional development
• Experience of banking, insurance and investment management sectors of finance, compliance, risk management and accounting as well as in the not for profit sector.
• Have auditing experience under SOX, C - SOX, Loi sur la Sécurité Financière and the UK Combined Code.
• Employs a logical analytical approach to solving complex problems
• Able to work under own direction and possesses excellent communication skills to help build a rapport with clients and colleagues alike.
• Proven team player, who has introduced award winning initiatives.
• I have passed both UK MoD and US DoD security clearance checks and am CRB cleared,

PROFESSIONAL EXPERIENCE:

Confidential

Internal Auditor

Responsibilities:

• Completed internal audit campaign for 2016 ahead of schedule
• Assessed the robustness of the processes in place through procedure checks, business interviews and formal testing of the key drivers of the business such as Sales, Purchase, Programs and Trade Compliance
• This remit involved ensuring that due diligence procedures ( Confidential ) for new customers and vendors were being followed
• Define and validate business action plans for non compliant controls which would have to be set up to reach the required level of compliance.
• Coach and review junior team members in the delivery of audit work
• Used SAP and in-house Safran software to obtain audit evidence
• Liaised with external auditors
• Worked remotely to execute the audit campaign with managers based in the parent company (France).
• Developed with management how to present audit evidence without compromising commercial, and security sensitivities.
• Chair meetings to develop action plans and facilitate inter departmental co-operation.
• Define and develop the audit strategy for the following year by getting key stakeholders to champion them

Confidential

Delegated Authority Operations and Audit

Responsibilities:

• Researching and understanding the requirements of capacity providers, Confidential ’s and UK and relevant local overseas regulatory requirements
• Liaising with the Insurers who provide underwriting capacity, coverholders and third party claims administrators
• Co-ordinating activities with underwriters and claims handlers
• Managing involvement in the commissioning of coverholder / claims administrator audits and ensuring recommendations arising are resolved in a timely fashion.
• Bank Reconciliations - reconciling the cash book to multiple bank accounts and resolving any carried forward issues.
• Internal audit including documentation of controls process and other operations relating to the processing and recording of bound risks.
• Co-coordinating with third party service provider for example for the provision of health and safety audit work
• Developing the test plan for the new underwriting protocols
• Testing the accounting integrity of the new underwriting software and reporting the results to the IT manager.

Confidential

Senior Compliance Auditor

Responsibilities:

• Client risk assessment and due diligence for new and existing clients developing an understanding of the client's risk control framework, and working with them to improve their controls as part of the function of providing independent depositary oversight.
• Perform high level analytical real time operational and financial audit reviews around all of a fund's events and processes as they pertain to investors identifying risks around the above processes and seeking to minimise risks to investors e.g. distributions, drawdowns and investor transfers, so as to ensure they are compliant with their limited partnership agreements.
• Continually improving the risk management framework in relation to work of depositary.

Confidential

Decision Support

Responsibilities:

• Providing written analysis and evaluation of investment concepts that have been presented to the equity partners.
• Assessing concepts for their potential viability primarily using SWOT analysis.
• Would provide recommendations to invest.

Confidential

Accountant (Sub-contractor)

Responsibilities:

• Advising management such as identifying and explaining cost and revenue drivers and trend analysis.
• Preparation of client accounts including income statements, statements of financial position and reconciling cash book to bank statements, in accordance with UK accounting standards.

Confidential

Responsibilities:

• Helped establish the risk management framework and promote a culture of awareness.
• Drafted policies and procedures consistent with local regulation.
• Drafted policies for Intellectual Property and Data Protection policy; and corporate training procedures.
• Conducted a gap analysis between existing internal controls and the company’s risk appetite on behalf of Senior Management; also provided subsequent recommendations.
• Helped restructure and improve the efficiency of the resource management process.
• Helped embed the use and preparation of improved financial management information.

Confidential

Internal Audit

Responsibilities:

• Performed a value for money review concerning the effectiveness and governance of the organisation’s marketing partners.
• Advised on the development of strategic partnerships to improve services.
• Introduced a new process to improve the organisation’s ability to assess its competitor analysis

Confidential

Management Support

Responsibilities:

• Advising on the development of strategic partnerships to enable improved service to users and creating a new process to better assess the organisation’s service offerings in comparison with its competition
• Reported to the board of the findings of my analysis to the brief given.

Confidential

Auditor

Responsibilities:

• Performed audit tests including analytical reviews and substantive fieldwork.
• Conducted walkthroughs of key business processes, identifying key risks and controls and communicated deficiencies to the client on a timely basis.
• Planning audits
• SOX 404 testing of client internal control frameworks.
• Performed regulatory reviews to ensure clients complied with Confidential and other industry guidelines.
• Coached junior colleagues.
• Playing a pivotal role in the management of the assigned audit area with sole responsibility for the delivery of smaller clients.

Confidential

Compliance Monitoring

Responsibilities:

• Fiduciary monitoring to ensure compliance with internal and regulatory requirements.
• Prepared internal reports, including money laundering briefing reports, new training guidelines.
• Resolved fiduciary issues with clients; and identified and escalated material issues to the Senior Management.
• Acted as first point of contacts for clients to help resolve operational and technical issues relating to the fiduciary monitoring process.
• Maintained an awareness of trends and developments in the industry and advised on their potential implications.

Confidential

Compliance Monitoring

Responsibilities:

• Performed Investment monitoring duties for a range of funds where Confidential was the trustee.
• Working alongside management teams to complete company reports timely and accurately.
• Responsible for monitoring client currency overdraft positions.
• and reporting any breaches of Confidential regulations.
• Reviewed investment vehicle prospectuses and associated distribution reports so they can be authorised for publication and distributed to the public.
• Was responsible for testing new software on internal computer systems and reporting to senior management accordingly on its effectiveness.
• Was a key stakeholder in the introduction of the investment monitoring software Confidential introduced in 2005. This involved testing the software, wrote up the results of the testing, and developing training protocols
• Was responsible for reviewing the preliminary investment and borrowing limits for a new client, whose funds totalled over £7 billion.
• Coached and motivated the team; and responsible for training.

Confidential

Responsibilities:

• Prepared cash, stock and income reconciliations on a monthly basis.
• Identified and resolved unreconciled items.
• Introduced a new process for communicating the reconciliation results more clearly and concisely.
• Won an award for designing and implementing an innovative new accruals system.