United Kingdom
Dedicated professional. Specializes in Fraud Prevention, Detection and Investigation. Extensive exposure in Audit and Operational Risk Management. Strongly demonstrates the values of excellence, collaboration, perseverance and integrity.
• Core function is to provide consultancy services to the Business in terms of managing risks and strengthening the control environment to meet organizational goals and objectives. • Ensures compliance to company’s Operational Risk Measurement and Management Framework (ORMMF). Responsibilities: Control Assessment – Involved in the assessment of the Design and Operating effectiveness of the controls, documentation of the results in test scripts and report, providing evidences for the assessment, and developing recommendations to address control gaps and weaknesses. • Leads the 0verall coordination which involves planning and scoping of Global and Service Centre’s Key Control Testing. • Develops and performs control testing procedures for Global Markets Operations. • Responsible in monitoring the progress of analysts’ assigned testing. • Reviews completed test scripts and control testing reports. • Discusses results and recommendations to local, Service Centre, and onshore stakeholders. Incident Management - reviews reports relating to significant events and incidents that resulted in financial losses, reputational damages and compliance breaches. Review of these incident reports involve assessment if root cause analysis was properly performed, processing errors have been rectified, and sufficient remediation actions were planned and implemented to prevent the same incident from happening. Risk Governance, Reporting & Key Risk Indicators – prepares and gathers data for monthly Business Risk Management Forums. Acts as Chair, provides support and updates in local and global forums. Collaborates with business owners and functional heads in establishing Key Risk Indicators which are metrics used by business to provide early signal of increasing risk exposures in various activities. Also conducts Process Risk Assessment ,Pre-audit reviews/Audit Preparation. Assisted in Business Continuity , Information Security, Transitions, Risk Awareness and Culture uplift.
• Manages and coordinates Assurance activities relating to Institutional Operations, Manila. This involves all Assurance Core Competencies – operational risk assessment, compliance risk assessment, control testing, loss reporting, remediation tracking, risk governance & culture. • Engages with a variety of stakeholders both internal and external to arrive at a better understanding of issues/risks, its root causes, and recommend effective yet commercially sound risk-balanced solutions. A collaborative approach will be required to successfully influence key stakeholders (who ultimately own the risk). • Aligns teams’ priorities with the strategy of the business, proactively drives an effective risk management culture and effectively discharges local & Group risk management responsibilities encompassing Operational Risk & Compliance. • Supports business strategy by providing insights on potential or emerging risks, and drive the improvement of overall risk culture. • Conducted risk awareness sessions not only for Institutional Operations but across the Manila Service Centre. • Conducted process reviews in Post Settlements Investigations function in Bengaluru, India, which further enhanced controls and standardization of processes by sharing best practices across locations. • 2-Time Take Charge and Excel Awardee.
3 consecutive year - Model Employee Awardee My responsibilities and accomplishments as an Internal Auditor: • Designed a fraud manual which audit department uses in conducting fraud investigation • Developed effective audit program guide which audit department uses in conducting assurance services and for Central Bank requirements • Led engagement planning and preliminary survey of unit to be audited • Conducted audit fieldwork to determine the unit’s compliance with existing bank policies and procedures, laws, regulations, best practices and basic internal controls by: a. Examining and evaluating the adequacy and effectiveness of the internal control system; b. Reviewing the adequacy and effectiveness of risk management procedures and risk assessment methodologies; c. Assessing the accuracy and the reliability of accounting system and resulting financial report; d. Reviewing the system and the procedures of safeguarding assets; e. Transaction testing and assessing specific internal control procedures; and f. Reviewing the compliance system and the implementation of established policies and procedures. • Recommended improvements on processes, related controls and risk management procedures • Led special audits on units, processes or specific transactions and investigations of fraud cases or irregularities, which extends to acting as support for administrative investigation committees hearings or court cases