Paul Serrao Email & Phone Number

London, United Kingdom

Worked on several Deloitte run financial projects within their Closures Team.The main duties of the role involves providing the quality assurance that the communication being sent to the end client meets the necessary criteria that has been agreed with Deloitte and their client. The target set for my performance was of a high level which encouraged me to look for ways to improve my standard of work without lowering my productivity or quality of work.

London, United Kingdom

I worked as an Associate on the Risk and Quality team of this global Accounting and Consulting firm, initially joining on a 3-month contract. However, I was invited to apply for a more permanent role due to excellent work performance. Over the past six years, I provided the firm’s Partners and staff with high quality advice regarding the need for independence in relation to audit clients, in compliance with internal policy as well as external regulators such as the Financial Reporting Council of the US Securities and Exchange Commission. I am particularly proud of the contributions I made towards promoting a culture of compliance in the firm, and changing the image of the internal Compliance Team from a relatively low profile team to one with the capacity to win new clients and ensure the independence of Partners and staff from audit clients. I provided advice of the highest quality to both Partners and staff and actively highlighted potential pitfalls to be considered by teams and individuals.Additionally, I managed the Retired Partner Process, ensuring that retiring partners fulfilled all the necessary compliance obligations, and contributed to key annual projects, e.g. the Annual Independence Confirmations and Partners’ Personal Independence audits which involved analysis of partner and staff disclosures. I also also conducted audits on the financial affairs of Partners to ensure compliance with the firm’s independence policy and ably assisted the team with the analyses of self-reporting forms, Engagement Team confirmation and reporting of any internal and external breaches of the rules to the Audit Engagement Partner.During my tenure, I established relationships with brokers to ensure that Partners pre-cleared investments and logged them onto their Checkpoint Portfolio’s in terms of the firm’s UK Independence policy.

London, United Kingdom

I was contracted to work for Promontory in the UK for five months. This is a leading strategy, risk management, and regulatory-compliance consulting firm, focusing on the financial services industry.I assisted the Workflow Manager in identifying areas that required improvements to the work flow process, i.e. reducing duplication or identifying high achievers. At the same time, I reviewed messages of the historical Society for World Interbank Financial Telecommunication (SWIFT), based on search terms and other identifying information, under the guidance of the workflow manager. I was responsible for analysing the data to distinguish between true match and a false positive transactions, referred cases for further investigation and was constantly in the top 10% regarding productivity and accuracy in this area.Within three weeks of joining the company, I was rated one of the highest achievers in a group of 30 data analysts in terms of productivity and accuracy and was offered the role of a Quality Assessor to ensure the accuracy and quality of the work of the other data analysts after five weeks.

London, United Kingdom

In this role, I was productively employed by this UK merchant banking group which provides lending, deposit taking, wealth management and securities trading, including lending to small businesses and individuals.My main responsibility was to check the credit worthiness of prospective clients by examining their financial accounts and matching them to the company’s set criteria and objectives, and recommending credit limits to management.I liaised with sales managers, underwriters and credit controllers to resolve outstanding queries and always ensured open, clear lines of communications to mitigate risks.I was responsible for daily and monthly statistical reports for management regarding credit checks; managed client files and indexed and saved vital files such as Running Account Credit Agreements, Running Account Credit Requests, Credit Agreement Sign Offs and Credit Memorandums.Another task was to complete a check list to ensure that prospective insurance brokers were FSA approved, met company criteria and duly signed the company’s terms of trade, prior to a Credit Committee review. I also maintained the team’s approved/declined credit checks spreadsheet for reference purposes; reviewed Credit Committee notes and adjusted the insurance brokers profile on the company system accordingly, and I regularly prepared customised interest rates and payment plans for brokers, within company parameters.