Thomas Swanson Email & Phone Number

Spain

London, London, Gb

Working as the Chief Internal Auditor to facilitate the design and implementation of an effective 3rd line of Defence. Duties include oversight of the external audit service providers, design and approval of the annual internal audit plan, and effective operation of the internal audit function across various jurisdictions and legal entities where Ebury operates, working with team members and co-source providers as appropriate. Specific duties include: - Creation, implementation and post audit review of the yearly internal audit programme for Ebury Group (c.10 Subsidiaries across c.30 countries), working in conjunction with the group external auditors and alongside audit consultants; - Implementing and overseeing strong standards and practice for the Internal Audit function to comply with applicable rules, market practice and the Chartered Institute of Internal Auditors (IIA) as appropriate.- Review and report to the Board on the broader operation of the governance framework including the robustness of regulatory reporting and the suite of regulatory documents. Ensure the principal risks of relevant Ebury entities are assessed, monitored, managed and controlled effectively.- Staying on top of any developments in the general market, economic and regulatory environment and address changes that could impact the Internal Audit framework and the broader strategy in the business.

Senior Audit Manager within the Conduct & Compliance team working across both Retail and Wholesale business at Santander UK Bank. My key activities are aligned to the timely delivery of the audit plan to address and manage key regulatory risks. Recent work undertaken includes:- Business compliance with Codes, such as Remuneration Code- Wealth Product Sales & CASS compliance- Sale of Insurance Products- Complaints Handling Framework- Product fees & charges (Retail)- Oversight of key strategic projects (including Banking Reform) In addition to the above audits, I hold people management responsibility and am involved in driving improvements to the department through my wider activities, such as being a nominated methodology champion and involved in continuous improvement plans such as designing, implementing and embedding the departments Agile Methodology.

London, Uk, Gb

Senior Audit Manager with over 7 years within GA at Lloyds. Working across all divisions of the bank, with the last two years responsible for looking after the Group Operations for Retail products and Secured Lending. Key responsibilities included:- Supporting the design and delivery of a compelling audit plan across the customer operations business within LBG.- Ensuring the business being audited operates a risk culture which is focussed on putting the customer first. - Supporting the business to further its customers interests and support the sustainable growth of Lloyds Banking Group.- Model behaviours that clearly demonstrate the management of risk is the responsibility of every colleague within the team and wider Group Audit department. - Identifying and driving forward improvements in GA methodology and colleague capability.

Bachelor Of Applied Science (Basc), Economics

Education record