Sanam Jehangir

• Implement Entity Wide Compliance Program.
• Work on designing & improving risk rating criteria to assist in the implementation of the new AML System to go live during Q1 2023.
• Coordinate with the AML system vendor to assist them with the assignment of Risk Scoring to relevant parameters in order to assess risk and make informed decisions while onboarding
the client and during ongoing transaction monitoring.
• Perform relevant Due Diligence Procedures (CDD or EDD as relevant) by obtaining valid documents from potential clients including the KYC.
• Provide advisory services as a member of the ESG Committee.
• Involved in the process of data gathering for FATCA & CRS Reporting purposes (requirement of the CBUAE).

• Assist in the preparation of Audit Plan & Risk Based Methodologies.
• Lead Audit Assignments and carry out individual assignments with minimal supervision.
• Perform internal audits of core & support functions, develop risk assessments, and conduct process walkthroughs to ensure compliance with documented procedures.
• Ensure, track, and monitor appropriate follow-up actions.
• Participate in closing meetings with management to clarify & discuss highlighted issues and make recommendations to address discrepancies.
• Evaluate adherence towards internal policies and procedures, applicable laws & regulations and
identify & report non-compliances.
• Produce & review audit reports for submission to Internal Audit Manager and advise on audit recommendations and internal controls.
• Review the work of other team members before submitting it to higher management.
• Providing guidance & advice to the Senior Management towards implementation of the COSO Framework and ESG-related
matters.

• To advance cash and reimbursement of various expenses to employees incurred on behalf of company.
• Maintain daily records of payments and receipts, ensuring that documentation on all payments and collections are complete, accurate, and in conformance with regulations.
• Ensure that only authorized expenses are
disbursed from float with relevant approvals.
• Ensure that funds are always physically secured or attended by an authorized person:
a) Obtaining original receipts or relevant supporting documentation for proper substantiation of expenses; b) Recording petty cash transactions using Quick books, maintaining appropriate records & performing regular reconciliations.

Involved in various assignments including evaluation of internal control systems, gap analysis, and internal audit.
Major responsibilities:
• Gaining a detailed understanding of business processes under review, through meetings with respective process owners and documenting them in the form of flow charts or process narratives.
• Identifying key risks & evaluating controls in place to develop or update Risk & Control Evaluation Matrix (RCEM) accordingly.
• Performing walkthroughs & conducting detailed testing in order to evaluate the effectiveness, efficiency & economy of internal controls in place and develop or update Tests of Controls (TOCs) accordingly.
• Communicating results of the audit testing to the Internal Audit& Advisory Manager.
• Assist the Audit Manager in producing Audit Reports by drafting Segments of the Audit Reports.