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Compliance Testing, Internal Audit, Audit QA and Regulatory Assurance contractor with 11+ years’ experience across Tier 1 banks, Global Markets, Investment Banking, Wealth and Asset Management. Skilled in control testing, report writing, issue validation, remediation assurance and senior stakeholder reporting, with coverage across Market Abuse, MiFID II, SMCR/SEAR, AML/KYC, RCSA, Consumer Duty, investment suitability and front-to-back controls. Available on one month’s notice for day-rate or FTC contracts.
Internal Audit, Compliance Testing, Audit QA and Control Assurance professional with 11+ years’ experience across Tier 1 banks, Global Markets, Investment Banking, Corporate Banking, Wealth Management and Asset Management.
Experienced in risk-based assurance, control design and operating effectiveness testing, audit/compliance report writing, issue validation, remediation assurance and senior stakeholder reporting.
Strong technical coverage across Market Abuse, surveillance, MiFID II, SMCR/SEAR, SEC/CFTC, AML/KYC, RCSA, Consumer Duty, investment suitability, CASS 7, COBS 9, P&L controls, VaR/SVaR, IPV/xVA, electronic trading and front-to-back control environments.
London School of Economics — MSc Accounting and Finance
Swansea University — BSc Economics, First Class Honours
Professional qualifications: CFA Level I, Investment Management Certificate (IMC Level 4), CFA Institute Investment Foundations Certificate, CII Diploma in Regulated Financial Planning Level 4, CII Certificate in Mortgage Advice Level 3, CII Certificate in Insurance Level 3.
