Summary
Overview
Work history
Education
Skills
Affiliations
Timeline

Arsalan Nazim

London

Summary

ACCA qualified professional with over 8 years of experience in delivering internal audit opinions, supporting executives with audit planning and execution in the funds and asset management businesses including audits of depositaries, fund accountants, transfer agents, CASS, UCITS V, AIFMD compliance.


Used the past couple of years to build a family by overseas adoption with multiple career breaks for prolonged visits abroad.


A generalist auditor with focus on funds, asset management, and the insurance verticals with financial crime and culture laterals

Overview

12
12
years of professional experience

Work history

Internal Audit Manager

Aviva Investors
City of London
06.2023 - 08.2023
  • Support Head of Audit in developing annual Internal Audit Plan through continuous monitoring and ownership of stakeholder relationships. Created a continuous monitoring 'system' to avoid businesses slipping through the net because of frequent restructuring, later implemented across the whole IA function.
  • Coached internal audit team to increase efficiency and effectiveness of output by teaching and implementing latest service excellence techniques (such as SCRUMS/Sprints etc)
  • Prepared and secured planning approval of an enhanced scrutiny engagement within 2 weeks, over 50% less than expected budget.


Internal Audit Contractor/Consultant (Audit Manager)

Protiviti (client JP Morgan Chase)
11.2021 - 08.2022
  • Led s.166 remediation work with focus on asset-management front-office controls.
  • Planned, executed control design and effectiveness for transaction linkages with asset classes used to calculate NAV, issues and cancellations etc
  • 'Connected the dots' by linking work completed by co-source (down-the-chain processes/controls in fund accounting and transfer agents) with in-scope work to provide a holistic view of control environment.
  • As a contractor, quickly built relationships with stakeholders based in the USA whilst working from London, used my observational skills and previous experience as an interviewer to present a thematic-analysis to evaluate risk mind-set and behaviours.
  • Project delivered within time and budget with positive feedback from and offers of additional work.

Internal Audit Contractor/Consultant (Audit Manager)

Grant Thornton (clients Axis Bank and Nationwide)
03.2021 - 10.2021

Senior Internal Auditor Specialist

NatWest Group (previously known as Royal bank of Scotland)
03.2018 - 09.2020

Internal Auditor

NatWest Group (previously known as Royal bank of Scotland)
09.2014 - 03.2018

Intern

NatWest Group (previously known as Royal bank of Scotland)
06.2013 - 08.2013

Fundraiser

Pell & Bales Fundraising
08.2011 - 05.2013

Education

Bachelor of Science: Economics and Accountancy -

Cass Business School, City University London - London, United Kingdom

Association of Chartered Certified Accountants -

ACCA

Skills

  • Proven track record of planning, executing, reporting numerous internal audits and enhanced scrutiny engagements across commercial, retail, corporate banking, insurance, and asset management


  • Key audits include culture, credit, depositaries, UCITS/AIFMD funds compliance structures (including fund accounting, issues and cancellations, finance, front office controls), commercial coverage, SM&CR, Wealth Management, Trade, Investment Supervisory


  • Regular liaison with other parts of the bank, such as Compliance, Business Controls, to assess control environment


  • Timely and effective stakeholder (SH) management - negotiations and agreement of any audit issues identified with relevant SHs and follow-up to ensure target completion Drafting exceptions, findings, and draft audit reports


  • Continuous Risk Assessment and Monitoring (CRAM), periodic and event-driven Inherent Risk and Control Mapping (audit score calculations), active support in evaluation of Residual Risk, development of annual audit plan, budgeting, variance analysis preparation, reporting to ExCo


  • Apart from day-to-day responsibilities, solely accountable for arranging periodic knowledge share sessions with other colleagues within and without internal audit


  • Coaching Auditors and graduate trainees to support their learning and development eg audit methodology, tools, or practices Interested in developing talent and supporting personal goals and careers

Affiliations

  • Global socio-political economy with keen interest in exploring future global governance structures
  • Passionate LGBT+ activist - recipient of multiple awards for leading the Rainbow Network at NatWest.
  • In the process of adopting two beautiful daughters and therefore interested in child cognitive development and raising humans with clear values.

Timeline

Internal Audit Manager - Aviva Investors
06.2023 - 08.2023
Internal Audit Contractor/Consultant (Audit Manager) - Protiviti (client JP Morgan Chase)
11.2021 - 08.2022
Internal Audit Contractor/Consultant (Audit Manager) - Grant Thornton (clients Axis Bank and Nationwide)
03.2021 - 10.2021
Senior Internal Auditor Specialist - NatWest Group (previously known as Royal bank of Scotland)
03.2018 - 09.2020
Internal Auditor - NatWest Group (previously known as Royal bank of Scotland)
09.2014 - 03.2018
Intern - NatWest Group (previously known as Royal bank of Scotland)
06.2013 - 08.2013
Fundraiser - Pell & Bales Fundraising
08.2011 - 05.2013
Cass Business School, City University London - London, United Kingdom - Bachelor of Science: Economics and Accountancy,
ACCA - Association of Chartered Certified Accountants,

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Arsalan Nazim