Dawn O'Connor Email & Phone Number

Hertfordshire, England, United Kingdom

· Reported to the CEO, was brought in to create and manage a compliance framework from scratch, which was instrumental in the company obtaining FCA authorisation in April 2020.· Produced management reporting to provide consistent information. Facilitated better management of customer expectation by allowing effective resolution of issues quickly and efficiently. If any weaknesses were identified; plans were created to address them. · Planned, scheduled and implemented audits on third… Show more · Reported to the CEO, was brought in to create and manage a compliance framework from scratch, which was instrumental in the company obtaining FCA authorisation in April 2020.· Produced management reporting to provide consistent information. Facilitated better management of customer expectation by allowing effective resolution of issues quickly and efficiently. If any weaknesses were identified; plans were created to address them. · Planned, scheduled and implemented audits on third party providers.· Created new company policies and procedures, ensuring they were reviewed and updated on a regular basis.· Provided operational support to all delivery teams in the business.· Integral role in maintaining and reviewing updates to the company website.Key achievements · Devised monthly compliance checks for internal staff. Processes included reviews on call monitoring, reviews on customer emails, open case reviews, Trust Pilot reviews and complaints, allowing identification of any training or process improvement opportunities. · Delivered annual compliance training for all staff members and maintained training records. · Created a compliance framework from scratch for staff and third party providers.· Created new complaints procedure and submitted annual complaints report to the FCA. · Created third party agreements with third party providers. Show less

Peterborough, England, United Kingdom

· Reported to Chief Auditor, created, planned and delivered timely accurate and insightful audit opinions, clearance of audit findings, supervision of fieldwork performed by staff; liaised with senior management on clearance of audit reports and liaised directly with business and technology managers.· Constructively challenged business managers to negotiate successful outcomes.· Provided effective input into Internal Audit risk assessment and planning process to identify key areas of… Show more · Reported to Chief Auditor, created, planned and delivered timely accurate and insightful audit opinions, clearance of audit findings, supervision of fieldwork performed by staff; liaised with senior management on clearance of audit reports and liaised directly with business and technology managers.· Constructively challenged business managers to negotiate successful outcomes.· Provided effective input into Internal Audit risk assessment and planning process to identify key areas of risk and where the department focus needed to be.· Consulted with various teams on overall project approach and governance.Key achievements · Excellent stakeholder management across the Divisions strengthening confidence in Internal Audit opinion and compliance with regulation.· Spent 3 months on secondment and formulated a solution to address Vulnerable Customers, which was a new directive from the FCA (application changes, staff training and procedures).· Facilitated workshops to deliver a solution for Vulnerable Customers. · Part of a specialised team that devised a testing plan for the installation and rollout of new audit software (Teammate). · Utilised previous knowledge of testing and Teammate achieve rollout of new audit application. Show less

Travelling and Home Renovations

London, England, United Kingdom

· Reported to the Global Director of Audit and was briefed to provide strategic leadership to remote teams as well as supporting the business. · Owned a portfolio of program audits from initiation to implementation, across multiple regions and multiple business lines, some of which were regulatory in nature (CASS, SMR, MAR, MIFID II).· Managed, coached and mentored a team of five auditors in India and supported a team of three other auditors based in the US. Held regular 121s with team… Show more · Reported to the Global Director of Audit and was briefed to provide strategic leadership to remote teams as well as supporting the business. · Owned a portfolio of program audits from initiation to implementation, across multiple regions and multiple business lines, some of which were regulatory in nature (CASS, SMR, MAR, MIFID II).· Managed, coached and mentored a team of five auditors in India and supported a team of three other auditors based in the US. Held regular 121s with team members and team status meetings and reviewed timesheets and audit reports before submission to senior management. · Effectively input into coverage of the annual audit plan (project audit was just one facet of audit, Technology and Business audit exist). Projects were evaluated to determine where key risks lay and types of oversight required. · Managed relationships with senior stakeholders. Providing audit coverage involved liaising with a number of people within Technology and the business and senior management; attending various team meetings, access to all the project files and actively challenging any gaps that were identified. · Planned and executed the audits; including report writing and review; clearance of audit findings; supervision of fieldwork performed by staff; liaising with Senior Management on clearance of audit reports and liaising directly with business audit and technology managers to optimise regional coverage.· Coached and mentored team members and evaluated internal audit controls on an ongoing basis to determine their effectiveness in relation to the risks faced by the organisation, and ability to meet regulatory requirements. Liaised with Professional Practices team to agree any changes in internal controls. · Performed team appraisals. Key achievements · Delivered a fit for purpose project audit framework that fitted into the existing Internal Audit framework. · Key communicator between remote teams based in India, US and London. Show less

London, England, United Kingdom

· Ensured projects were compliant with the project process framework adopted by the organisation and compliant with industry standards and best practices such as FFIEC, COBIT and Prince2. · Produced regular dashboards, giving insight into the health of global strategic, key risk and regulatory projects. · Supported a global team of six auditors based in Chennai, USA and the UK.Key achievements· This was a challenging role – the (previous) Process Quality Assurance role was moved… Show more · Ensured projects were compliant with the project process framework adopted by the organisation and compliant with industry standards and best practices such as FFIEC, COBIT and Prince2. · Produced regular dashboards, giving insight into the health of global strategic, key risk and regulatory projects. · Supported a global team of six auditors based in Chennai, USA and the UK.Key achievements· This was a challenging role – the (previous) Process Quality Assurance role was moved into Internal Audit – involving a very formal process using an audit application to scope and document audits. Created a project audit framework that complemented the overarching Internal Audit process. · Engaged senior management/stakeholders and project teams, crucial in building trust and value in audit opinion. Show less

London, England, United Kingdom

· Part of a global team; but the only team member based in London. Participated in Process Improvement Forums. Helped to identify common weaknesses and suggest possible process improvements or training opportunities.· Ensured projects were compliant with the corporate project process within the EMEA region.· Coached and mentored Project Managers on the project process/best practices. · Produced regular reporting on process quality assurance findings to Senior Management.… Show more · Part of a global team; but the only team member based in London. Participated in Process Improvement Forums. Helped to identify common weaknesses and suggest possible process improvements or training opportunities.· Ensured projects were compliant with the corporate project process within the EMEA region.· Coached and mentored Project Managers on the project process/best practices. · Produced regular reporting on process quality assurance findings to Senior Management. · Trained as a CMM Assessment Team Member – lead project appraisals within other parts of the organisation to assess internal project management controls were effective and robust.Key achievements· Created a new project process based on the CMM (Capability Maturity Model), a project framework similar to Prince2, and a new process quality assurance team was established to ensure projects complied with the new project process. · Instrumental in arranging in house training across all the project teams and the rollout of the new project process, and regularly reviewed projects for compliance.· Senior management reporting to monitor compliance. Show less

London, England, United Kingdom

· Reviewed all Change Requests – ensuring relevant information was captured (systems impacted, back-out plans, changes authorised by the appropriate system owners). · Logged and administered Change Requests onto the Service Centre application.· Chaired Change Control Meetings to determine impact/dependency on other systems and agree changes to be implemented. · Produced regular reporting on the status of change requests.

London, England, United Kingdom

· Coached and mentored Project Managers on best practices regarding testing.· Ensured test plans and test cases were documented and tracked to completion.· Created a defect management process.· Logged actual results to ensure test Certificates were signed off by relevant Business units and IT.Key achievements · Recommended by previous manager from Citibank for this newly created role, where utilised experience gained at Citi.

London, England, United Kingdom

Systems Testing & Support - supporting a collections system written in COBOL. Responsibilities included 24 x 7 support, software updates/testing , supporting customers based in Spain, Hungary, Greece and UK - involving frequent travel , Major accomplishments were implementing Year 2000 and Euro changes.

London, England, United Kingdom

London, England, United Kingdom

London, England, United Kingdom