Daniel Pheasant Irmcert Email & Phone Number

Derby, England, United Kingdom

Derby, United Kingdom

Nottingham, Nottinghamshire, United Kingdom

• Responsible for independently undertaking a range of governance, risk, and compliance audits, and assisting with complex reviews at client's sites in accordance with RSM Internal Audit standards. Individually leading or supervising an Internal Auditor, delivering high quality reviews within required timescales and budgets. • Assignment planning in preparation of undertaking a review by producing draft review planning sheets for approval/review by Client/Senior Managers in line with the Internal Audit Plan objectives and Client concerns.• Conducting Fieldwork in line with RSM Internal Audit Standards. Leading Client interviews and completing control testing ensuring review objectives/risks have been appropriately assessed. Lead and supervise more junior staff on individual assignments where required and ensure the delivery of the review within budgets.• Preparing draft reports and working paper files to high quality standards following debriefing with the Client and ensure Manager approval received within agreed SLAs.• Building strong relationships with Clients to support RSM position as Internal Audit provider and identify any potential additional work opportunities.• Support Management with any additional tasks require such as preparing annual audit opinions and preparation of reporting for Audit Committees.

Nottingham, United Kingdom

• Conduct Thematic Assurance Reviews on the annual compliance plan to ensure all high-risk areas identified are reviewed to support the three lines of defence model. Ensuring scoping, testing, reporting and remediation are completed to ensure any control gaps or policy breaches are resolved. • Management of the Compliance Assurance team to ensure the Compliance Assurance Officers support the completion of the annual compliance management plan with the completion of high risk monitoring and operational control testing. Completing quality checking of the operational testing and the running of calibrations with the business to feedback inconsistency’s in monitoring results and drive improvements to monitoring in the first line.• Lead the design, scope and delivery of 2nd line control testing. As the lead control tester implementation of procedure documentation and ensuring all design and operational control testing is completed. Ensure the resource of the Compliance Assurance Officers is manged to ensure support is available for the Senior Compliance Assurance Officers with the completion of Thematic Reviews and Risk & Control Self-Assessments as well as supporting Advisory Reviews and the completion of 2nd line operational control testing. • Test administrator within the Governance risk & control (GRC) system responsible for the ongoing improvement of the control environment within GRC. Writing of design and operational test plans, approval of test results and raising issues and actions within the system.• Support the ongoing improvement of the control environment by educating the first line of business as to how to write controls to strengthen adherence to the regulatory requirements.

Nottingham, United Kingdom

• Provide support and advice to relationship / supplier managers to help them manage their third parties in accordance with Third Party Risk Management standards• Streamlining the current approach to Third Party Risk Management to ensure it is appropriately focussed on the areas that matter most to Capital One• Ongoing management of our supplier invoices and finances

Member of the Risk Management team for Risk Operations. Supporting Vendor & Third Party assessments, Control Effectiveness testing and supporting process excellence. Certified in Business Process Management.