Team
Our team consists of highly qualified and seasoned industry practitioners from tier one global and regional financial services sector including investment, retail and corporate banks, asset and wealth managers, and payment service providers. With diverse backgrounds, including MBAs from top-ranked business schools, Chartered Accountants, Corporate Treasurers, Chartered Financial Analysts, and Professional Risk Managers, we bring a wealth of expertise and knowledge to serve your business needs.
This knowledge, experience, and constant horizon scanning allows us to provide best in class, leading edge, robust and detailed analysis to support your current and future requirements.
Field of Expertise
Governance
- board and management responsibility
- management information
- organisation structure
- policies and procedures (key risks and responsibilities)
Risk Management
- Enterprise Risk Management (ICAAP – Strategic Risk, Concentration, Environmental, Securitisation)
- Operational Risk (risk library, risk assessment, control self-assessments, incident capture (internal and external), scenario analysis)
- Liquidity (Basle requirements; measurement, monitoring, management and reporting)
- Market and Credit (Basle requirements; measurement, monitoring, management and reporting)
- Franchise/Reputational Risk
- Conduct Risk (customer, market, people)
- Internal and External Fraud – segregation of duties, fraudulent payments, settlement instruction/beneficiary changes, escalated review for unusual payments, unauthorised trading/trading supervision, accounting (manual journal entries)
- Data Security; cyber security, access controls, record retention, business continuity, confidential information (personal identification number)
- Staff Recruitment, Vetting, Training, job description, performance management, compensation – credit and criminal checks, employment history checks, enhanced procedures for material risk takers, bonus claw back
Compliance
- Anti-Money Laundering/Terrorist Financing: on boarding/client and enhanced client due diligence, PEP, initial and on-going risk assessment (customer, product, jurisdiction, transaction value, delivery channel)
- Payments – suspicious transaction alerts monitoring, review and reporting, unusual payments
- Sanctions – screening customers and payments against sanctions list (OFAC, World check, FATF country list, etc.)
- Conflicts of Interest – information barriers, internal (private and public physical and logical segregation, front running orders, transaction monitoring (electronic and voice surveillance), personal account dealing, external business interests
- Whistleblowing – receipt, investigation team, resolution and board reporting
- New Business Activity– client outcome, market disruption, employee knowledge
- Anti-Bribery and Corruption, Gifts and Entertainment
- Complaints: recording and acknowledgement, monitoring and resolution
Operations & New products
- Pre-execution risk assessment
- business and support review and approval
- post implementation review
- periodic review
Finance
- Financial, Management and Regulatory Reporting
- Annual and quarterly financial statements review
- Annual Sarbanes Oxley certification for internal controls over financial reporting
- Daily p/l (explanation, attribution)
- Month end balance sheet (accounting standards compliance, substantiation)
Transaction Lifecycle
- Transaction execution, matching, documentation (netting), confirmation, reporting , and settlement
- Commodities (Oil, Electricity, Natural Gas) (cash, complex, physical trading)
- Fixed Income (Bonds, Loans, Structured Products)
- FX (cash and exotics)
- Equity (cash and exotics)
- Bank Resource Management (Securities Lending, Repo, ISDA Documentation, SPV)
- Valuation models
Internal Audit Transformation
- Stakeholder expectation
- audit strategy (vision, mission)
- gap analysis (maturity profile)
- effective and efficient audit methodology
We look forward to partnering with you and contributing to the growth and success of your business. For further inquiries, do not hesitate to reach out.