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Work Background
UBSRisk and Control Manager
Nov. 2022 - Dec. 2024London Area, United Kingdom• Support Risk Governance Meetings: Coordinate and manage risk governance meetings, including preparing materials, presenting, taking minutes and following up on actions with several stakeholders • Stakeholder Collaboration: Lead FORM representative for CFO office directly communicating with Business Risk Managers to identify potential financial and non-financial risks through management of risk & control environments, and monitoring issues & incidents • Framework Oversight: Maintain and continually improve the Operational Risk Management Framework, ensuring alignment with broader Risk Management Frameworks of the bank • Innovation Initiative: Provide automation and innovation enhancements on several Excel spreadsheets used for data analytics and risk and regulatory reporting • Operational Risk Expertise: Provide reconciliation of controls, issues and incident reporting to several Business Units through profound experience with risk control systems (ERM software) and processes, with a strong analytical mindset
CitiInternal Audit Manager
Jul. 2021 - Oct. 2022London, England, United Kingdom• Supervision of Audit Engagements: Lead supervisor on several audit engagements performing risk-based audits across Citibank, including: o Preparation of audit plans in line with Citibank’s audit framework and bespoke Integrated Risk’s audit methodology o Responsible for the day-to-day planning, coordination, review and finalization of audits as well as carrying out training and quality control of assignments o Responsible for updating risk assessments to identify material risks as areas of focus o Actively involved in identifying local regulatory requirements that could impact the audited entity o Manage several audit team members and monitor the progress of audit o Periodical follow-up of management action to determine that agreed actions are completed and support action owners where necessary • Audit Report Presentation: Prepared the audit report presented to the Integrated Risk Audit Director, and ultimately to the Head of Audit • Risk and Control Self-Assessment (RCSA): Assisted in the annual risk assessment process and contributed to the formation of the annual audit plan through direct input, insight, and perspective around current business, industry and regulatory risk factors • Issue Validation: Responsible for the review of audited entity’s self-identified issues, and coordinate the completion of the issue validations • Team Collaboration: Provided audit support, including preparation of Design Effectiveness Assessment and Operating Effectiveness Testing on several regulatory, market risk, operational risk, and IMA audits
EYManager
Oct. 2020 - Jul. 2021London, England, United Kingdom• Supervising Manager: Lead and manage several audit engagements (i.e., SOX audit, group audit, US GAAP, PCAOB experience) with appropriate consideration of audit risk issues and accounting technical matters. This also involves monitoring of progress, review, feedback, and mentoring throughout the audit.
• Oversight and execution of substantive testing: Developed the substantive testing procedures on capacity, hedge effectiveness and governance of hedge accounting
• Review of Statutory Accounts and Consolidated Accounts: Lead the review of several statutory accounts for the Group audits and take an active role in the testing and review of Consolidated Financial Statements
• Innovation Initiative: Developed a Robotic Process Automation for testing bank confirmations, develop an automated Excel spreadsheet for selection of samples, as well as for the analytical procedures used for BS and IS accounts
• Training Facilitator: Facilitated several trainings for new hires, newly qualified Senior Associates, and train-the-trainor programmes, thus developing a mindset of coaching and mentoring people
EYAssistant Manager
Oct. 2018 - Sep. 2020London, United Kingdom
EYAudit Senior
Jun. 2015 - Sep. 2018London, United Kingdom• Pioneer member of the audit team handling EY London’s largest client (The Royal Bank of Scotland)
• Takes an active role in audit planning including preparation of audit approach, preparation of audit budgets and staff forecasting
• Primary Team member handling the coordination with several component teams on different geographical locations
• Leading the audit of several corporate center accounts (i.e. pensions)
CitibankProduct Control Analyst
Feb. 2013 - Jun. 2015Makati, Metro Manila, Philippines• Implement improved functional and technical analysis around valuation and reporting. • Perform price verification of positions • Liaison with trading desk, Risk Management, Operations and other areas of the financial division. • Close monthly and quarterly Income Statement and Balance Sheet for various bank and non-bank entities.
SGV & Co.Audit Associate
Jan. 2011 - Jan. 2013Performs external audit of diversified industries including banks, schools, mining and advertising firm, focusing on the financial services and risk management of the company. Also does audit support for other team’s audit client regarding financial instruments’ review and valuation, with firm background in BASEL Framework and it's adoption in the Philippines.
CitiCustomer Service Representative
Feb. 2010 - Oct. 2010• Balance general ledger, e.g. tally physical cash and system statement daily. • Assist in investigations relating to cash transactions/services. • Assist in Risk and Control Self Assessment (RCSA) on a quarterly basis. • Post correct entries and verify customer information prudently and accurately. • Keep up to date with operational compliance, new banking products and services.
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