Tom Delaney Email & Phone Number

United Kingdom

Peripatetic

My main duties consist of:• Providing assurance to CQC through a programme of risk based audits and follow up on management action to implement accepted recommendations.• To perform independent consultancy work in relation to CQC activities and process in accordance with a set framework of control.• Reviewing quality, performance and/or compliance of CQC practices and relevant legislation.• Perform reviews of the adequacy of work for all auditors to ensure that that work adheres to the required standards.• Abide with the Internal Audit Code of Ethics four guiding principles of integrity, objectivity, competence and confidentiality.• Undertake fraud and irregularity reviews to ensure that adequate controls are in place to protect the CQC from loss of monies and reputational damage. Example of audits undertaken:- Performance Information and Data Quality- External Communications- Reputation Management- Workforce Planning- Finance Management- Programme and Project Management- Information Security

Midlands

My main duties consist of:• Ensuring that the risk-based audit programmes for Advisers/Firms and Compliance function reviews are completed in accordance within documented procedures and HIA agreed timescales.• Ensuring that audit reports are completed in the required format and all working papers recorded on the HCL network for HIA review.• Effectively monitor the implementation of recommendations and agreed action plan for each audit completed.• Ensure all data analysis completed as part of audit review procedures is relevant and comprehensive and does not duplicate audit planning procedures performed by the Compliance Data Analysis Auditor by effective communication with other members of the team.• Ensure that the agreed management information is supplied to the HIA in the required format on a timely basis.• Ensure key risk and control effectiveness issues identified as part of on-going audit procedures are reported to the HIA on a timely basis.• Ensure that where additional activities are requested by the HIA, these are completed as required to support he overall objectives of the function.This role involves an element of travel around the Midlands area in order to undertake reviews at the clients trading address.

Peripatetic

Main duties consist of 3 key elements, consultancy, assurance on the system of internal control and the implementation, facilitation and ongoing support of the risk management system. In doing this, I determine whether adequate management controls are in place to ensure that assets are safeguarded, records are reliable, operations are efficient and policies and directives are adhered to. I carry out system and risk based audit reviews in all areas of the Council’s activities in accordance with the Audit Plan, completing reviews independently, as a team member or a team leader, dependant on the nature of the review. To carry out or assist in carrying out Value for Money, Performance Review and other specialist audit areas e.g. contract or computer audits, as directed by the Audit Services Manager and to recommend any necessary changes to improve the effectiveness, efficiency and economy of the activities of the Council. This includes the review of audit programmes and advising the Audit Services Manager on necessary amendments.Establish and maintain effective two-way communication with staff, colleagues, Members and customers, seeking out and responding to opinions in order to further enhance the quality of service delivery.I attend and contribute to team and divisional meetings and help develop the profile of Internal Audit.Example of audits undertaken include:• IT audits: ICT infrastructure, Internet Usage and Policy, Council specific system reviews and BACS, • Finance Audits: Budgetary Control and Strategy, Accounts Payable, Accounts Receivable, Treasury Management and Asset Management• General Audits: Climate Change, Payroll, Human Resources, Leisure Centres. • Corporate Governance and Risk Management audits.

Duties undertaken for this role are the same as undertaken at Worcester City Council. I was previously a member of the Internal Audit Team at Bromsgrove District Council and was ‘Tupe’ transferred to Worcester City Council as part of a shared service restructure.

As an Audit and Risk Analyst my main duties involved providing support to the Control Manager with the day-to-day management of all Risk and Control issues. I challenged, assessed, tested and reduced the inherent business risk in all the processes within the centre. This involved creating a dynamic risk culture in the office, conducting and monitoring completion of assessments and testing; including taking an active part and driving completion of Business Continuity testing. Another key aspect was writing reports on any identified findings and presenting them to team members ensuring all parties involved have a good understanding of results. Integral to this is chairing regular meetings for monitoring and communication of non-compliance.I visited other sites to undertake independent audits, ensuring compliance with the companies’ policies, procedures and regulations, for example, Sarbanes Oxley and the Financial Services Authority. This involved taking the lead in audits and running a close out meeting with the relevant managers to discuss any findings. I was also responsible for co-ordinating the team’s follow-up action on any key issues raised in audit reports. Based on materiality, this follow-up could include walkthrough testing and follow-up visits to ensure that all actions had been appropriately resolved.An additional role I held responsibility for was the disaster recovery plan and business continuity for the unit. As part of Business Continuity I produced terms of reference, exercise schedules; perform user acceptance tests and alternative site tests at contingency sites. This is to check that all key systems and equipment work in the event that contingency was invoked.Along with providing timely and accurate management information to internal and external business partners, I supported recommendations made to the Centre Manager and assisted with the development of plans and initiatives that would impact on Risk and Control within the Centre.

As Senior Export Investigations Officer, I had the responsibility of 4 staff; a junior assistant, a pay clerk and two despatch clerks. After a restructure of the section I was given the responsibility of leading 2 further senior investigation officers. This involved being the staff’s first point of contact for problem solving, process and systems issues.Part of my role covered collating of targets on a daily and monthly basis, balancing of all transactions for Import / Export teams and resolving problems caused by customer, bank or my team.To gain further experience I made sure to make myself proactive in gaining knowledge of other areas. This led to me training other members of staff in my current team’s role and other roles not related to my current post.With the take over of Nat West by the Royal Bank of Scotland, I was involved in the gathering of information to enable our two separate systems and processes to integrate smoothly.I also took additional responsibility for reconciling the whole unit’s accounts, which covers entries passed by approximately one hundred staff.I attended several courses to enhance communication skills and problem solving. At the start of the course we were set targets and given a budget, once we had collated our findings, we presented them to three managers for their agreement.

Msc, Risk Management, Commendation

'First' achieved for Dissertation with Commendation overall

Post Graduate Diploma, Audit Management And Consultancy, Commendation

Activities and Societies: CISA

Cmiia, Iia Advanced Diploma In Internal Audit Practice

Modules studied; - Internal Audit Environment, - Financial Risks and Controls, - Intenral Audit Practice, - Information Systems Auditing.

Education record

Cisa