Experience

Royal London Asset Management

• United Kingdom
• Financial Services
• 400 - 500 Employee

• Senior Risk Advisor - 2nd Line

  • Jan 2021 - Present



Aviva Investors

• United Kingdom
• Financial Services
• 700 & Above Employee

• Operational Risk Manager - 1st line

  • Jun 2016 - Dec 2019

  • Actively supported the Alternative Income teams build and maintain good risk governance through owning and managing their risks and controls ◦ Helped develop the Alternative Income teams operating procedures and process maps ◦ Lead the teams onto their journey to owning and testing local controls, including educating control champions of their roles and responsibilities ◦ Played a key role in aligning all controls to the correct risks, which were newly developed at the time ◦ Performed a periodic QA of controls/testing/results • Acted as liaison between the Alternative Income teams and 2nd (Risk) / 3rd (Audit) lines of defence ◦ Provided continuous support for 2nd and 3rd line reviews of the area, including sourcing evidence from the business and providing process/business specific knowledge when required • Served as the first point of call around any risk/control related queries and issues, including Risk events ◦ Discussed emerging risk events with the teams, establishing root cause and relevant risk, and enter them on the system. ◦ Managed and follow-up on resolution and closure of risk events ◦ Identified, monitored and resolved open issues, including liaising between different teams to achieve a mutually agreeable resolution • Represented the team at an Operational Risk oversight group to actively engage in any risk management/monitoring updates and apply those accordingly • Contributed to production of MI and reporting on risk events and issues, as requested for input to various committees • Took on ad-hoc projects relevant to the business, using my extensive company knowledge and contacts of the business to optimise efficiency Show less



Aviva

• United Kingdom
• Financial Services
• 700 & Above Employee

• Audit Manager

  • Feb 2008 - Jun 2016

  • Main areas of experience include: ◦ Investment Risk ◦ Client Services ◦ Front Office/Dealing ◦ Solvency II/ORSA ◦ Derivatives ◦ Bribery Act regulation ◦ Post Trade Compliance ◦ Tactical and Strategic Asset Allocation ◦ IT Cost Management ◦ Unit Pricing ◦ AML/KYC checks – onboarding ◦ Business standard attestation • Special projects: ◦ IT controls Improvement programme: audited the business’s response to external regulatory report on suitability/completeness of proposed controls ◦ Procurement and expense systems review/data analysis of payments in collaboration with the fraud investigations team ◦ Review of newly proposed HR business strategy following organisational changes ◦ Review of third party services provided by JPM (middle office services), including controls testing ◦ Review of “Root to green” plan and actions for Financial Crime standard compliance • Performed all aspects of internal audit work, including planning, scope determination, risk assessment, controls identification and testing, report writing, presenting and agreeing audit issues with stakeholders • Effectively communicated with colleagues globally to ensure high quality of audit work • Seamlessly liaised with other specialist teams, including IT and Fraud Investigation, during integrated reviews • Focused on delivering assigned work to deadlines and informing management of potential delays in a timely manner • Built and maintained strong relationships with stakeholders and was recognised and trusted by the business • Actively involved in various aspects of wider projects and team activities, including: ◦ Championing use of audit methodology and audit software ◦ Delivering specialised training to the team (Solvency II) ◦ Chasing and closing audit actions and issues with stakeholders Show less



EY

• United Kingdom
• IT Services and IT Consulting
• 700 & Above Employee

• Senior Auditor

  • 2004 - 2007

  • Worked on audits and consulting projects for clients in the financial services industry, mainly hedge funds, mutual funds, fund-of-funds, banks • Planned, executed, and documented audit procedures • Directed fieldwork daily while managing staff performance, delegating tasks and providing guidance/supervision to junior staff • Kept upper management informed of the engagement status • Adapted the audit approach to the changing client environment • Prepared and reviewed draft financial statements, footnote disclosures, partnership agreements, and partnership allocations, including accounting policy and regulatory footnote disclosures in a time sensitive environment • Demonstrated a thorough understanding of complex accounting and auditing concepts and applied them to client situations • Worked against and met tight deadlines to deliver financial statements to clients • Developed and maintained clear communication channel and productive working relationships with clients • Fostered an efficient, innovative, and team-oriented work environment • Provided performance feedback and conduct staff performance reviews • Industry exposure includes registered hedge funds, fund of funds, mutual funds, management company/investment advisor experience, broker dealers, benefit plans, 401K plans, pension plans, and retirement plans • Product exposure includes derivatives, repurchase/reverse repurchase agreements, asset-backed securities, mortgage-backed securities, bond amortization, bank loans/distressed debt, structured notes, private placement, emerging markets, corporate debt, and equities • Bloomberg/ISP/Fincad pricing experience Show less



Bowling Green State University

• United States
• Higher Education
• 700 & Above Employee

• Summer Intern (full time)

  • May 2003 - Jul 2003

  • Assisted the University's Internal auditor with preparing and running various audits throughout the university • Assisted the University's Internal auditor with preparing and running various audits throughout the university



Unison Health

• United States
• Mental Health Care
• 100 - 200 Employee

• Intern (part time)

  • 2001 - 2003

  • Assisted organization’s Controller and accountants with data entry, analysis, and administrative tasks • Assisted organization’s Controller and accountants with data entry, analysis, and administrative tasks



Norman, Jone, Enlow & Co.

• Columbus, Ohio Area

• Tax Intern (full time)

  • Jan 2002 - May 2002

  • Prepared individual and corporate tax returns during busy season • Prepared individual and corporate tax returns during busy season