Testing, Assurance & Internal Audit

Build a risk-based annual plan aligned to risk appetite, regulatory focus, and material change in the business.

Execute deep dives on AML/CFT, sanctions, client money/segregation, market conduct, privacy/data protection, and customer outcomes.

Provide concise reports, heatmaps, and an overall assurance opinion with trend analysis for Audit/Board committees.

Define statistically sound samples and perform end-to-end walkthroughs to confirm control design and operating effectiveness

Classify issues by impact/likelihood, identify root causes, assign Corrective and Preventive Actions (CAPA) with owners and due dates

Maintain working papers to a defined standard, curate evidence packs, and manage retention for full audit trail integrity.