Head Of Internal Audit - Global Advisory
CurrentResponsible for the Global Advisory audit portfolio (Mergers & Acquisitions, Equity Markets Solutions, Debt Advisory & Restructuring, Redburn Equity Execution and Redburn Research) including development of the audit universe, audit plans and risk assessments.Managing and coaching a team of 4 auditors through the planning, fieldwork and reporting stages to deliver robust audit testing using targeted data analytics and high-quality audit deliverables. Focus is on producing insightful audit findings and impactful audit reports.Key expertise in processes and controls to manage risks related to Conflicts of Interest, Financial Crime/AML, Client On-Boarding, Information Barriers, MAR Insider Lists, MAR Market Soundings, Wall-Crossings, MIFID Client Classification, Consumer Duty, Senior Managers & Certification Regime (SMCR), Conduct Risk Framework, Anti-Bribery & Corruption (G&E, OBI, PAD), Pitch Materials, MIFID Product Governance, Allocations, Deal Approval & Execution and ESG.Represent Group Internal Audit at the NMR, EMS and REL Board Committees to provide stakeholders with key messages, key audit findings, an update on open/overdue audit issues and a view of the audit plan.Work closely with all Global Advisory stakeholders and Group Function stakeholders to build strong relationships between Internal Audit and the business/functions to foster collaboration, encourage partnership and share key insights to help shape company strategy and better manage risks and controls.My focus is on delivering powerful and impactful insights through robust stakeholder management, clear communication and strong influencing skills. My recommendations help drive process efficiency, continuous improvement, sustainability and simplification. Strong knowledge of the regulatory environment (FCA, PRA, MAR, MIFID) and audit methodologies.
