Firaz Ali
Richmond Hill,NY
Overview
6
6
years of professional experience
Work History
Assistant Vice President, Internal Audit - AML Technology
CitiBank
08.2021 - Current
- Understand the various global functions, product offerings, governance structure and regulatory environments to ultimately determine the effectiveness of operational risk management across all of Citi
- Perform AML and compliance/regulatory audit of functional areas and report significant issues related to processes and controls, including inherent risks in and potential improvements to those processes and controls
- Conduct process walk-through meetings and review relevant supporting documentation to gain an understanding of business processes and potential testing approaches of key risk areas
- Perform follow-up procedures to ensure audit findings were remediated within the expected time frame and management's corrective action plans were implemented and operating effectively
- Perform audits in a team environment, including leading three junior team members with their assignments related to the audit via initial review of workpapers, findings and managing the expectations required of them.
- Handled administrative systems to assist senior leadership and over [Number] staff members
Senior Associate - Internal Audit, Compliance & Risk Management Solutions
PricewaterhouseCoopers LLP
01.2019 - 07.2021
- Lead SOX control audits for various in-scope processes over the course of multiple testing phases, for multiple Fortune 500 companies in various industries, such as, Medical Technology, Pharmaceutical, Media & Entertainment, and Banking industry
- Identifying and evaluating key risks and contributing to establishing audit scope
- Assisted in assessing and improving the effectiveness and efficiency of internal controls
- Responsibilities included leading site reviews, reviewing the support provided, documenting testing results, identifying deficiencies and developing remediation plans for the deficiencies identified
- Performed accept and reject testing for application controls testing in the following processes: inventory process, credit process, and accounts payable process
- Performed User Access Review which includes reviewing whether the client identified users with excessive access, privileged access, and the relevant mitigating controls
- Performed Segregation of Duties (SOD) testing which includes reviewing whether the client identified the relevant SOD conflicts and mitigating controls
- Performed design and effectiveness testing on ITGC controls for access management, change management, program development, and computer operations
- Involved in designing controls and the relevant test steps (including assertions).
Staff Auditor
Buchbinder Tunick & Company LLP
06.2017 - 11.2018
- Audit ERISA Benefit Plans, perform Sarbanes-Oxley 404 compliance for internal audit services
- Gain an understanding of client business operations and procedures to resolve audit related issues; and make recommendations for improvements
- Prepare form 990 returns for non-profit clients and form 5500 (Annual Return of Employee Benefit Plans) for pension plan clients
- Prepare audit work papers and financial statements for clientele that includes real estate, professional services, employee benefit plans, labor unions, and not-for-profit enterprises to ensure compliance with GAAP and GAAS
- Assist management in the documentation over financial reporting controls to fulfill Sarbanes-Oxley requirements
- Participate in detailed audit walkthroughs, evaluating the internal control measures and perform substantive testing; and reported on areas of noncompliance.
Education
Bachelor of Arts in Accounting -
Queens College, City University of New York
Flushing, NY12.2016
Skills
- Audit Management
- Team Building and Leadership
- Team Collaboration
- Accounting Principles
- Regulations and Compliance
- Risk Mitigation
Timeline
Assistant Vice President, Internal Audit - AML Technology
CitiBank
08.2021 - Current
Senior Associate - Internal Audit, Compliance & Risk Management Solutions
PricewaterhouseCoopers LLP
01.2019 - 07.2021
Staff Auditor
Buchbinder Tunick & Company LLP
06.2017 - 11.2018
Bachelor of Arts in Accounting -
Queens College, City University of New York
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