Operational Risk – Internal Audit Processes

Operational Risk – Internal Audit Processes

  • Develop and manage business requirements and functional specifications for Management Control Division’s (MCD) next generation, firm-wide integrated control assessment platform.
  • Leading team of business analysts and developers to build an integrated software suite for IT and Financial auditors to manage documented issues and track resolutions.
  • Development of an internal audit management controls review and assessment applications
  • Implement data level entitlements based on user role using CrossLogix web security framework.
  • Documentation of current state corporate consolidations/close process.
  • Review and assessment of financial reporting processes for risk assessment, benchmarking, best practices redesign and streamlining.
  • Leading Regional SarbOx compliance effort, providing guidance to process owners and working closely with external auditors to ensure that all internal control documentation and procedures meet with their requirements.
  • Develop requirements, specifications and manage the development of the reporting systems for Operational Risk issues and resolutions.
  • Team with both internal and external software development groups to provide use cases, process flows, functional specifications and prototypes.
  • Develop requirements, specifications and manage the data conversion effort from legacy audit system to its replacement.
  • Manage product development through the entire SDLC, including test and training.

System Features include:

  1. Audit Management – End -to-end project management suite to fulfill the annual audit cycle.
  2. Risk Assessment – Library of contextual risks and associated controls used to assess the firm’s control environment
  3. Issues Management – provides workflow for managing issues to closure.


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