VP Internal Audit Department
EFG-Hermes
Total years of experience :19 years, 4 Months
Conducting risk assessment of assigned department or functional area in established/required timeline
Establishing risk-based audit programs
Determining scope of review in conjunction with the Chief Internal Auditor
Reviewing the suitability of internal control design
Conducting audit testing of specified area and identify reportable issues and dimension of risk
Determining compliance with policies and procedures
Communicate findings to senior management and draft comprehensive and complete report of audit area
Preparing the annual audit plan on according to the basis of risk assessment.
Perform audits, reviews & verification tasks as planned and assigned by the Chief Internal Auditor in accordance to policies, procedures & guidelines.
Monitor the corrective action of all audit comments & ensure regularization within target dates. Review financial reports and monitor aging items.
Provide support in the implementation of new audit techniques. Enhancement for all utilities used by the unit whenever required by the Chief Internal Auditor.
Handle proofs & verifications on a monthly basis, Investigate differences & report any issues to the Chief Internal Auditor.
Manage the year-end sign off & tracing requirements by providing external auditors with necessary tracers, reports & proofs as and when required.
Ensure that all procedures, designations, deviation files are maintained and updated.
Ensure that month end closing requirements have been fulfilled.
Implemented the process for handling the Insurance Products through proper/accurate tracking of existing customers and new subscriptions in their respective products.
Running customers' accounts with accuracy and handling customers' complaints efficiently.
Handle and report the different products revenues on a monthly basis with an utmost accuracy.
Involved with product management in implementing the market / customers' driven developments.
Communicates the accurate Investments & Insurance process controls to all branches' Investments Consultants & Senior Management.
Handle Operations (Back office) with full co-ordination & support ensuring the most accurate & timely execution for all Investment deals.
Direct involvement in all critical customers' issues.
Ensures that Continuity Of Business Plans is well updated & tested frequently at all aspects.
Handle the Fixed Income Securities /Structured Products orders processing with complete coordination with the related Treasury desks.
Mutual Funds orders' placement and management with our Back Office. Provides MIS feedback to Investments & Insurance senior management to enable them develops the team force and processes.
Run compliance processes & Ensures that compliance reviews are regularly exercised and revised issues are well addressed and corrective actions are taken.
Handles multiple product reconcilements for Investments & Insurance earned commissions.
Participate in Ops processes improvements and system enhancements.