ATHEY DSOUZA
Cherrybrook,NSW
Summary
Knowledgeable Risk specialist equipped with proven skills in administering risk management programs across financial services. Ability ot handle multiple projects simultaneously with high degree of accuracy. Detail-oriented in reviewing complex data to identifying impactful risk trends. Familiar with regulatory requirements to maintain strict controls.
Overview
12
12
years of professional experience
Work History
Risk and Controls Specialist (Contract)
Guild Insurance
11.2023 - Current
- Provide Line 1 support to design and develop key controls along with guiding business develop standard operating procedures/frameworks to strengthen the control environment
- Review bowties, perform design and operational effectiveness testing across key controls as part of the CPS 220 - Risk transformation project to meet APRA requirements
- Perform control effectiveness testing across CPS 234 controls to better manage information security/cyber risk across the organisation
- Support business with ongoing remediations, audit actions, incidents/breaches and uplifting existing controls within the organisation
- Create monthly reporting on outstanding actions, control development, control remediation and control testing as part of the risk transformation project
- Provided Line 1 risk management guidance and training to the line 1 business to enable to be risk advocates.
Manager – Enterprise Risk Management (Banks/Insurance)
Genpact
06.2021 - 11.2023
- Assisted our banking and insurance client with review and uplift of risk profiles included mapping of controls, obligations, processes, incidents, and issues to the risk
- Facilitated with value chain implementation process and value chain assessment activities thus generating the aggregated value chain risk profile at a line of business level at one of the major banks in Australia
- Performed control self-assessment testing of the design and the operational effectiveness across key controls across banking and insurance sector
- Assisted our insurance client with the risk transformation project to address APRA findings around CPS 220
- Identified design level gaps during the walkthrough of the control and recommended business improvement opportunities to strengthen the control environment
- Assisted with data management and data uplift for key reporting in accordance with Basel III requirements outlined in the APS 112 and 113 standards across corporate and institutional banking
- Reviewed critical data elements in accordance with the data governance framework to ensure data quality around monitoring and reporting on parameters across completeness, accuracy, consistencies and fit for use.
Risk Specialist - Internal Controls and Risk
Aussie Home Loans Pty. Ltd
10.2020 - 06.2021
- Performed risk control and self-assessments across vendor engagement to identify key risks and controls across processes
- Conducted walkthroughs with the business function to develop process and outlined the key controls in the value chain
- Conducted review of incidents and issues and perform root cause analysis to ensure appropriate remediation measures are undertaken to mitigate the risk
- Reviewed the annual compliance attestation for Aussie brokers and provide timely updates to the wider team at Aussie
Senior Analyst– Internal Controls and Risk
Visa (Australia) Pty. Ltd
12.2016 - 04.2019
- Reviewed and documented the operational risk in line with internal policies and procedures at VISA
- Facilitated the business functions and ensure compliance in accordance with VISA internal policies/ processes
- Training the business function around operational risk including compliance risk such as anti-bribery risk, etc
- Vendor onboarding and risk management review in line with VISA policy and processes
- Protected VISA business in line with the key controls and ensuring compliance by testing and reporting of any identified issues and remediation actions across the organisation
- Reviewed incidents logged in the incident register and followed up on the remediation action plan with respective business units.
Assistant Manager – Internal Audit
Prudential PLC – United Kingdom
02.2016 - 11.2016
- Member of the Group-wide Internal Audit team at Prudential (London) and has been aligned to M&G Investments (UK and European funds)
- Performed business audits across functions within M&G such as risk, compliance, investments and sales & distribution
- Supported audit management in preparing the annual audit plan and drafting audit scope for panel review
- Undertaken portfolio of multiple audit assignments and exercise professional judgement to ensure timeliness & quality assurance services
- Assessed the adequacy of the internal control framework at the design level and effectiveness of the embedded controls
- Identified key finding during audits, documented draft observations for senior audit management review and manage assignments with minimal supervision
- Ensured business owners have clear understanding of the identified risk exposure and agree with the proposed remediation plans to address control deficiency and associated risk exposure
- Reviewed team documentation / working papers and ensured compliance with the internal audit methodology.
Assistant Manager – Internal Audit
Deloitte Touché Tohmatsu LLP – India
05.2015 - 02.2016
- Al Jazira Capital – Capital Market Authority - Regulatory Audit Engagement – Saudi Arabia
- Managed multiple projects on behalf of the Capital Market Authority (regulator) across several divisions within Al-Jazira relating to risk management, investment banking and asset management
- Drafted and reported findings for reporting to the regulator towards the completion of the project
- Visa - Internal Control review
- Independently consulted and facilitated the country team in streamlining existing processes and implementing key controls to strengthen the internal control framework
- Assisted and supported various divisions of business in Visa in reviewing contractual work statements with Clients and Merchant ensuring adherence to Visa Inc
- Policies and procedures
- Performed Active monitoring of ongoing and upcoming projects until completion and ensured fulfilment of all key obligations by the Clients and Vendor in accordance in the Visa Inc
- Policies and procedures.
Senior Executive – Internal Audit
KPMG
12.2011 - 02.2015
- Executed Internal audits across asset management companies and its intermediaries such as custodians, fund accountants and portfolio management services
- Identified high risk areas across financial markets, conducted walkthroughs of the processes and tested controls
- Identified areas of audit at the time of finalizing the annual audit planning
- Assisted in the implementation of key projects on FATCA compliance and AML for reporting to the regulator
- Developed and documented risk and control self-assessments (RCM’s) across key risks across wealth management
- Engaged in Special assurance engagements which included review of the data migration, data leak, data security
- Report audit findings and providing the client with recommendations to improve the internal control environment
Education
Master of Computer Science - Cyber Security
University of Wollongong
Wollongong, NSW04.2026
Chartered Secretary - Risk And Governance
Governance Institute of Australia
Sydney, NSW01.2019
Master of Business Administration - Finance
University of Madras
05.2009
Bachelor of Commerce (Fin. Accounting, Auditing and Taxation) -
Goa University
01.2007
Skills
- Data Analytics
- Audit and Assurance (Financial services)
- Stakeholder relationship
- Problem Solving and decision making
Affiliations
- ISACA
- IIA
Timeline
Risk and Controls Specialist (Contract)
Guild Insurance
11.2023 - Current
Manager – Enterprise Risk Management (Banks/Insurance)
Genpact
06.2021 - 11.2023
Risk Specialist - Internal Controls and Risk
Aussie Home Loans Pty. Ltd
10.2020 - 06.2021
Senior Analyst– Internal Controls and Risk
Visa (Australia) Pty. Ltd
12.2016 - 04.2019
Assistant Manager – Internal Audit
Prudential PLC – United Kingdom
02.2016 - 11.2016
Assistant Manager – Internal Audit
Deloitte Touché Tohmatsu LLP – India
05.2015 - 02.2016
Senior Executive – Internal Audit
KPMG
12.2011 - 02.2015
Master of Computer Science - Cyber Security
University of Wollongong
Chartered Secretary - Risk And Governance
Governance Institute of Australia
Master of Business Administration - Finance
University of Madras
Bachelor of Commerce (Fin. Accounting, Auditing and Taxation) -
Goa University