Anh Du, Cia Email & Phone Number

Houston, Texas, United States

Sydney, Nsw, Au

Houston, Texas, Us

• Managed risk portfolio for trading counterparties by utilizing Power BI to prioritize risk mitigations based on changes in credit exposure and market movements• Assessed counterparty credit worthiness by performing financial reviews and utilizing industry research tool (S&P Capital, Moody’s, etc.) in order to approve new trading counterparties and extend credit for trading• Led negotiations with counterparty on credit and collateral terms within commodity contracts (NAESB, EEI, ISDA)• Developed tools to analyze trading Exchange (ICE, NODAL, NYMEX) initial margin requirements based on trading scenarios provided by the traders resulting in a reduction in cash collateral posting• Collaborated with commercial, market risk, operational risk, and product control teams to assess non-standard deal strengths, weakness, and risks • Minimized working capital needs by optimizing collateral for new and existing deal• Provided guidance and direction to the Internal Process Improvement team on behalf of Credit in the Know Your Counterparty (KYC) implementation project which resulted in more efficient counterparty onboarding and setup

Houston, Texas, Us

• Reported directly to Chief Risk Officer and implemented the new Enterprise Risk Framework (ERF) for North American lines of business and corporate functions by developing new processes to monitor and report risks • Trained key stakeholders on how to assess risk within the risk universe and populate the risk register in accordance with the new ERF• Established and maintained effective working relationships with key stakeholders in the organization including the Executive Leadership teams, Commercial teams, HR, Finance, IT, Health and Safety, Compliance, and Legal• Organized and coordinated quarterly business risk meetings with the leadership team to review and discuss key risks and effectiveness of controls• Prepared risk reports and presentations for the leadership team by meeting with the risk owners to assess current risk scores and mitigations • Assisted in improving the risk and control environment across the business by increasing management's awareness of key risks in North America • Coordinated and managed integrated assurance meetings between internal audit, internal controls, health & safety, and compliance to ensure efficient coverage of risks identified in the risk registers and minimize duplicate efforts• Authored the North America risk components in the committee paper presented to the Board of Directors

Houston, Texas, Us

• Effectively coordinated with the VP, Internal Audit to help ensure proper execution of Internal Audit recruiting strategy and audit plan • Managed audit team to effectively carry out audit plan for local and global audits by designing and implementing audit programs to test the effectiveness of identified key controls, leading audit opening and closing conferences, reviewing work papers completed by staff, validating exceptions and the feasibility of suggested resolutions, agreeing audit observations with business management, and preparing and reviewing draft of audit reports• Initiated audit process through understanding meetings, creating engagement correspondence, agreeing the scope and objective with Management and business stakeholders• Developed and coordinated recruiting process for North America team, resulting in 5 new hires to bring staff levels back to full headcount• Standardized North American onboarding process to align with the global onboarding process • Utilized Computer Assisted Audit Techniques (CAATs) in ACL in an effort to increase coverage and efficiencies on the residential billing audit• Provided feedback and coaching to audit staff• Assisted the Director, Internal Audit in updating the 3 year audit plan for the commercial and industry (C&I) and midstream trading business

Houston, Texas, Us

• Led audits by planning, executing, and writing the report within the corporate governance, upstream, and trading functions• Documented work performed to support observations and conclusions utilizing established documentation protocol in the Internal Audit methodology• Initiated discussion of exceptions with Management and audit client • Successfully concluded audits within budgeted hours and expenses• Conducted root cause analysis to identify risks and work with the business to mitigate risks• Developed and managed the open audit action tracking process by reviewing and monitoring the status of corrective action plans for implementation of control improvements • Contributed with the cross-globalization of the UK and North America internal audit team by frequently traveling to other Direct Energy and Centrica locations to conduct audits and work with local management on findings and corrective action• Participated in a 3 month secondment in the UK to conduct audits in the Centrica Energy midstream trading business

London, Gb

• Reviewed gross margin actualization for natural gas commodities based on third party receipts and internal client excel documentation• Documented the desktop procedures detailing the review and referencing system used in the gross margin actualizing process to help the client improve internal reporting performance• Performed internal audit work and procedures relating to the data accuracy and completeness of forward price curves for natural gas and crude commodities • Conducted front office fraud investigation by examining trade data and obtaining relevant facts from emails to confirm or contradict the allegations – findings ultimately lead to the termination of three traders• Reviewed commodity trading activities in order to assess whether trades recorded in the trade books completely and accurately reflected market conditions and the risk volatility of trading positions• Assisted in Risk Policy assessment by reviewing the front, middle and back office procedures for risk policy compliance and drafted the findings report• Documented operational/financial processes, risks, and controls for exchange/OTC traded options and upstream/downstream hedging for power and gas• Developed and tested the control test of design for newly documented options trading and hedging controls• Audited contracts by performing data analytics in conjunction with tests to determine the accuracy of third party billing based on the contracted agreement• Identified risks and subsequently documented the development of controls for new processes during ERP implementation planning • Provided SSAE 16 (SAS 70) services by performing walkthroughs and testing for process and application controls (i.e. access, backup and recovery, and change management)

London, Gb

• Provided risk services through strategic operational solutions• Evaluated clients’ internal audit and risk management functions• Performed internal audit work and procedure• Created audit analyses, correspondence and engagement documentation• Tested processes and related controls

Burbank, Ca, Us

• Maintained accurate data on company internal controls• Worked with SAP systems to pull data and perform analytics• Analyzed potential risks and create key controls to mitigate risks• Assisted in FY08 Annual Audit Planning• Prepared FY07 Q3 Quarterly Disclosure

• Reconciled bank and credit card statements• Investigated overdue invoices and missing payments• Drafted intern training manual over credit card reconciliation