Oct 2025 – Present · 5 mos

Feb 2025 – Oct 2025 · 8 mos

• Lead and execute monitoring reviews aligned with global and regional compliance policies
• and thematic risks.
• Manage end-to-end audit processes, including planning, risk assessment, control testing,
• and reporting.
• Supervise and mentor analysts, ensuring quality of audit workpapers, testing, and issue
• validations.
• Engage with senior stakeholders (compliance, portfolio managers, traders) to present
• findings and recommend improvements.
• Validate corrective actions to ensure timely remediation of deficiencies.

Oct 2023 – Feb 2025 · 1 yr 4 mos

• Completed thematic risk and control reviews (ESG, portfolio compliance, financial
• promotions, information barriers).
• Conducted process walkthroughs, identified governance gaps, and provided actionable
• recommendations.
• Utilized Excel, Power BI, Charles River for risk analytics, enabling data-driven audit
• conclusions.
• Performed substantive testing on allocation restrictions, loans, bonds, FX, and ecommunication
• monitoring.
• Prepared audit workpapers, drafted findings, and collaborated with stakeholders to close
• issues.

Oct 2022 – Oct 2023 · 1 yr

• Conduct second line compliance reviews as per the annual monitoring & testing plan.
• Test the adequacy of controls in place within the business and to identify potential and actual breaches.
• Prepare reports to inform key stakeholders of the outcome of monitoring and review work, including rating findings and assigning owners/actions.
• Contribute to the continuous improvement of in the monitoring approaches.
• Ensure local Compliance monitoring activities are considered and leveraged, where possible, for relevant Global reviews.
• Under supervision, responsible for planning and executing reviews within the global organization, testing controls, documenting working papers and drafting reports.