THANDO JARVIS
Glasgow,UK
Summary
Results-driven Internal Audit and Assurance professional with over 18 years of experience in the banking and financial services sector. Proven track record in conducting high-impact audits, risk assessments, and regulatory compliance with a strong emphasis on internal controls, financial crime mitigation, and governance. Recognised SME in continuous monitoring, outsourcing risk, and AML practices. Skilled in managing cross-border audit engagements and mentoring junior staff. A strategic thinker with excellent communication and stakeholder engagement skills, passionate about driving diversity and fostering inclusive workplace cultures.
Overview
18
18
years of professional experience
4
4
years of post-secondary education
1
1
Certification
Work history
Assistant Vice President, Internal Audit
Barclays
Glasgow, UK
09.2022 - 07.2025
- Strategically led continuous monitoring initiatives, delivering proactive audit insights and enhancing early risk detection across critical operational areas.
- Recognised authority in premises and facilities audit management, ensuring business continuity, health & safety compliance, and operational resilience.
- Strong capability in leveraging data to inform audit strategy, enhance testing accuracy, and optimise risk coverage.
- Deep subject matter knowledge of end-to-end AML risk lifecycle and transaction monitoring controls, supporting targeted reviews in financial crime and fraud detection.
- Applied robust analytical and problem-solving capabilities to complex audits, identifying root causes and recommending sustainable control enhancements.
- Leveraged experience in Enterprise Risk Management Framework (ERMF) to align audit testing with organisational risk appetite and regulatory expectations.
- Designed and executed targeted audit training programmes to drive performance uplift, resulting in an increase in KPI compliance from 20% to 65% YTD.
- Redesigned audit approach by securing Management Control Approach testing exemption, saving three audit days and accelerating delivery through targeted, evidence-based stakeholder engagement.
- Adept at designing and implementing risk mitigation strategies, elevating organisational control maturity and operational resilience.
- Known for building high-trust relationships with senior stakeholders and risk partners, ensuring alignment on audit objectives, issue remediation, and control design.
- Maintains rigorous standards in issues validation, ensuring completeness, traceability, and regulatory readiness of all audit findings.
- Provides structured mentorship to junior auditors, fostering talent development and ensuring consistent application of audit standards.
- Well-versed in managing end-to-end audit lifecycles — including scoping, execution, fieldwork, issue tracking, and reporting — with a focus on timely, high-impact delivery.
- Successfully managed audit teams and cross-regional resources, driving accountability, quality assurance, and stakeholder confidence.
- Delivered internal outsourcing and supplier audits as SME, assessing contractual obligations, risk exposure, and control design effectiveness.
- Conducted governance audits, mapping regulatory requirements against business practices to assess oversight effectiveness and alignment.
SOX Compliance Associate
Morgan Stanley
Glasgow, UK
02.2020 - 09.2022
- Delivered end-to-end testing of internal controls under the Sarbanes-Oxley (SOX) framework across finance and IT operations, ensuring accuracy and reliability in financial reporting processes.
- Developed and implemented a centralised approach to testing reports and evidence used to support financial controls, improving consistency and audit readiness across teams.
- Led assessments of control design and operational performance by facilitating walkthroughs, reviewing process documentation, and evaluating effectiveness against regulatory standards.
- Prioritised audit focus through structured risk assessments, categorising controls based on potential business impact and likelihood of failure.
- Acted as liaison between internal teams and external auditors, improving evidence sharing and reducing audit workload for internal stakeholders.
- Prepared and supported scoping activities for annual SOX assessments, helping teams determine which processes and systems required full audit coverage.
- Authored detailed control issue summaries and contributed to reports submitted to th Audit Committee, ensuring transparency and accountability.
- Provided training and mentorship to junior colleagues, including guiding control owners during walkthroughs and improving process documentation quality.
- Identified areas for operational improvement and worked with the wider team to streamline testing procedures and enhance the overall control environment.
- Contributed towards building a culture of transparency and integrity within the organisation.
Equity Counterparty Controls Associate
Morgan Stanley
Glasgow, UK
07.2017 - 02.2020
- Led cross-border team in managing equity trade reconciliation and fails investigation, providing oversight, training, and real-time escalation across global markets.
- Acted as escalation lead for prime brokerage clients, ensuring timely trade settlement and preventing regulatory fines by managing global buy-in risks and compliance with KYC and market deadlines.
Derivatives Confirmation Associate
Barclays
Glasgow, UK
09.2016 - 07.2017
- Ensured accurate documentation of derivatives transactions in compliance with regulatory timelines.
Investment Service Manager
Barclays
Glasgow, UK
06.2014 - 07.2015
- Streamlined business processes to enhance overall productivity and reduced trading error rate by 10% after implementing four eye checks across the team.
Core and Internet Banking Advisor
Lloyds Banking Group
Glasgow, UK
10.2007 - 07.2014
- Provided technical and customer support across internet and core banking services.
- Carried out day-to-day duties accurately and efficiently.
- Demonstrated respect, friendliness and willingness to help wherever needed.
Education
BSc (Hons) - Finance, Risk & Investment
Glasgow Caledonian University
Glasgow, Glasgow City 08.2010 - 06.2014
Skills
Internal Audit Leadership & Team Management
Team Development & Coaching
Forward-Looking Approach
End-to-End Audit Execution & Risk-Based Planning
Internal Controls & Compliance (ICFR/SOX)
Risk Management & Mitigation
Control Design & Process Improvement
Stakeholder Engagement & Cross-Functional Collaboration
Change Management
Certification
- IIA Certification in Internal Audit and Business Risk, 07/23
- Introduction to Securities and Investment, 02/18
Custom
Available upon request.
Timeline
Assistant Vice President, Internal Audit
Barclays
09.2022 - 07.2025
SOX Compliance Associate
Morgan Stanley
02.2020 - 09.2022
Equity Counterparty Controls Associate
Morgan Stanley
07.2017 - 02.2020
Derivatives Confirmation Associate
Barclays
09.2016 - 07.2017
Investment Service Manager
Barclays
06.2014 - 07.2015
BSc (Hons) - Finance, Risk & Investment
Glasgow Caledonian University
08.2010 - 06.2014
Core and Internet Banking Advisor
Lloyds Banking Group
10.2007 - 07.2014
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