Robert P. Email & Phone Number

Isle Of Man

Isle Of Man

Develop the annual audit plan using input from the Board, senior team and business stakeholders to identify priorities and resource requirements for the year. Annual audit plan to cover all activities of the Group.Meet with the Board of Directors and Managers to discuss needs and propose audits, to build stakeholder requirements into department plans.Ensure plan is developed to meet the Audit Committee’s expectations.Schedule and assign audits to outsourced internal audit provider, ensuring effective and efficient use of resources.Ensure quality control of the team’s audit plans on an ongoing basis by reviewing and approving plans as they are developed and communicated to Management.Ensure annual audit plans have contingency built in, to provide unexpected audits to the Board of Directors as they may surface.Report to the Audit Committee at the required intervals on Internal Audit assignments including planned reviews, investigations, risk advisory work and any other ad-hoc activity as required.Oversee and provide quality control for the department’s audits, to ensure departmental mandate and business goals are met and that professional standards are maintained at all times.Ensure completion of audit assignments to provide independent, objective assurance to the Audit Committee.Build relationships with leaders across the organisation to understand issues.Provide assistance to the business in meeting regulatory requirements.Keep abreast of developments in Corporate Governance practices and advise the business accordingly.

Gibraltar

Defining and providing the Board, Audit Committee and Executive Management with a clear and robust Risk Management process ensuring this meets all UK listing governance requirements. Providing bwin.party with a ‘Best in Class’ risk management process considering the nature of the market in which the company operates in and maturity of the business. Educating the senior management team in risk management across all global sites including Gibraltar, London, Austria, India, USA and Ukraine. Management of Group Audit Committee and presentation of Board reporting on a quarterly basis. Ensure annual reporting adequately reflects the risks to the Group. Providing risk input to the Internal Audit plan, Compliance issues, and Affiliate Risk Committee as well as any ad-hoc projects. MLRO & Risk Officer for InterTrader.com a Spreadbetting subsidiary of bwin.party. Setting up of the Licenced Operations Audit team to provide assurance in all markets of regulated operations such as Spain, Denmark, Italy, Belgium, France and Gibraltar. Implementation of ISO 27001 framework ensuring this complimented the Group Risk structure. Providing Agile methodology approach to internal IT projects. Provided risk based compliance advice on regulatory issues such as payment processing, Anti-Money Laundering and Responsible Gaming. Root cause analysis and process re-engineering in the event of control failures. Utilisation of both Six-Signa and Lean processes and risk based project management.

Isle Of Man, United Kingdom

Re-defining and setting up an ‘active’ compliance function throughout the company moving them away from reactive compliance monitoring to a greater proactive approach.Creating a more efficient and effective approach to compliance monitoring. Recruiting two new individuals (a Compliance Officer and Assistant Compliance Officer) in addition to the existing team to enhance the day to day technical compliance support to Canada Life International. Providing formal approval for all financial promotions, Money Laundering Reporting Officer, Data Protection Officer and Fraud Manager.Reallocating the role of one existing member of the Compliance Team to Risk Management duties to greater enhance the role of risk management within the company.Redesigning the Anti-Money Laundering, Data Protection Fraud Prevention training provision for all Canada life International staff to ensure greater effectiveness both in understanding and cost effectiveness.Introducing quantifiable risk monitoring benchmarks or Key Risk Indicators across the business.Day to day responsibility of the Risk & Compliance team managing development and performance, Liaison with Life & Pensions Authority and other key regulators on the Isle of Man ensuring that Canada Life International maintains a strong relationship with government and regulators.Oversight of the annual Compliance Plan 2011 to ensure that the company meets its regulatory requirements and improves internal processes where required. Particularly in relation to Anti-Money Laundering, Fraud Prevention and Data Protection.

Isle Of Man, United Kingdom

Reporting to the Managing Director setting up an active risk function throughout the company ensuring that senior management understand the importance of risk management on a daily basis.Reporting to the UK based Chief Risk Officer ensuring that the UK Risk team are kept abreast of any issues.Responsibility for the Business Continuity Management programme having taken responsibility for the programme during its move to a new 3rd party provider.Introducing a risk management training programme aimed at all levels of staff in increase aware across the business.Introducing a root cause analysis into ‘risk events’ to ensure similar issues do not reoccur.Delivery of ‘best value solutions’ to the business in effective risk management techniques ensuring that this underpins the risk appetite of senior management.Being a resident member of the company Risk Committee and Audit Committee ensuring that any developments are accurately reported to the company Board and Lending committee.Involvement in a number of regulatory developments including Solvency II as well as daily interaction with the company Compliance team.Undertaking reviews within business functions where specific risk has been identified to ensure adequate mitigation processes have been introduced.

Isle Of Man, United Kingdom

Provision of office services to ensure that Kingfisher Trading were able to move out of the premises of its fiduciary company. Liaison with Isle of Man Gaming Commission in the provision of receiving a gaming license on the Isle of Man. Acting as Money Laundering Reporting Officer (MLRO).User acceptance testing of gaming software ensuring all areas of game play and back office processes such as payment processing were robust in readiness for launch.Documenting policies and procedures in relation to compliance, fraud and customer service and ensuring they were followed.Liaison with the Isle of Man Department of Industry (DTI), Gaming Commission, company banking service providers.Provisioning and management of 3rd party off-shore service providers in relation to providing clients with 24/7 customer service via online chat and customer service translation services.Arranging non credit card payment solutions with Neteller, MoneyBookers, Ukash etc to allow clients safe and secure ways of depositing online.The day to management of a team of 3 individuals in the provision of fraud, compliance customer service and operations in relation to the on-line poker room.Attending poker affiliate conferences within Europe to promote RealDealPoker.com by speaking as part of a three man panel on the ‘regulatory framework across Europe and its effects on the online gaming industry (Prague 2010) and holding potential client meetings during conferences. Development of service offering (online casino) to supplement online poker rooms through a separate service provider based in Germany who were seeking to license in the Isle of Man.Undertaking human resource duties such as hiring new staff, arranging work permits and negotiating contacts as required.Ensuring that the company accounts were produced, liaising with a number of on-line payment providers and the company bank to ensure all financial and management reporting was accurate and timely.

Isle Of Man, United Kingdom

Ensuring the business and Senior Management are fully aware of the risks affecting their business with specific focus on the areas of payments processing, credit operations, banking services, new account administration and contact centres.Developing a structured approach to Sarbanes-Oxley 302 & 404 compliance across the various business steams in scope on the island.Development of an Operational Control Review process and delivery plan across the Barclays Wealth Banking platform including the Isle of Man, Channel Islands, London, Cyprus, Gibraltar and off-shore operations in India.Liaison with Barclays Bank Group Internal Audit Department, Sarbanes-Oxley, external auditors and other risk areas to ensure compliance with various key requirements including internal control processes, Sanctions and OFAC requirements and other off-shore banking compliance issues.Managing a team of dedicated Operational Assurance Executives to develop the Operational Assurance approach to ensure controls are adequate for the risks within the business.Delivery of ‘best value solutions’ to the business in effective risk management techniques ensuring that this underpins the risk appetite of senior management.Reviewing a set of monthly assurance based control checks, obtaining management buy in to both results and on-going action plans and developing a clear control environment.Conducting root cause analysis into business ‘risk events’, analysing why controls failed and where process improvements can be made without increasing costs unnecessarily.

Derby, United Kingdom

Undertaking reviews bank wide of ‘Business as usual’ compliance within both business and IT areas.Maintaining strong relationships across business units to ensure compliance with the Sarbanes-Oxley 302 and 404 legislation within a live year.Developing IT business area framework using COSO, CoBIT and ITGC guidelines to assist management in identifying key business processes required for section 404 sign-off.Liaison with Operational Risk Management and the External Auditors to ensure on-going agreement in approach.Reporting to Operational Risk Committee and Audit Committee in respect to issues identified during testing.Liaison with external audit firms to ensure scope of SAS 70 Type I and II meet the business requirements for outsourced operations.

Chester, United Kingdom

Promoting business/operational risk awareness at Senior Executive/Divisional Director level in order to enhance operational control. Management of a team of Risk Management Analysts in providing Risk Management, Basel II and Sarbanes-Oxley 302 & 404 reporting requirements. Development of Key Business and Risk indicators bank wide for monitoring performance in terms of business and risk and reporting these to Senior Management on a monthly basis. Development of a Business Re-engineering process for MBNA Europe Limited and identifying through Six Sigma and Lean analysis processes for improvement. Providing audit and risk view on major corporate projects ensuring that these key aspects have been taken into consideration by the overall project sponsor.

Northampton, United Kingdom

Reviewing Internal Audit's contribution to the business and making practical recommendations for improvement to Senior Management. Developing a self assessment programme to enable the Retail Division to take responsibility for their specific controls. Leading key audit projects at all levels within the business, ensuring issues are reported to management in a timely manner. Providing audit and risk view on major corporate projects ensuring that these key aspects have been taken into consideration by the overall project sponsor. Developing audit methodologies to meet evolving regulatory requirements, ensuring continued Group-level compliance with Corporate Governance. Evaluating personal professional development needs and undertaking suitable training to meet the needs of the organisation. Successfully recruiting and coaching audit employees.