推动建立良好的企业监管文化

Audit provides a fascinating view into the operations of one of the largest financial services companies in the world. I've worked across multiple groups in my career here, so I've learned a lot. My experience in Audit Operations has been the most interesting so far. I've had the opportunity to work with individuals across different functions, from Technology and Core Processing to Marketing to Compliance. Each function has given me even more insight into our business.

When we audit a department, we look at the various risks and controls associated with the business. For each control there is a different test. We then develop a strategy for the tests. For a particular project, we also had to look at regulations and the impact they have on the business’ policies and procedures. For example, we make sure the procedures are in compliance with the regulations, and we verify that the systems work appropriately.