Director – Risk Consulting
Alan has over 15 years of experience working in the UK, USA and Australia across a wide variety of industries helping to empower businesses with the necessary tools to help them identify and manage these risks and meet regulatory expectations, using a 'right-sized' tailored approach.
Specialising in Risk Management, Internal Audit, and Anti-Money Laundering (AML), Alan joined the Sydney team from Grant Thornton's New York City office where he worked with clients to implement effective internal control frameworks for more than 10 years.
Alan has managed internal audits for clients in the financial services, healthcare, not for profit and gaming industries. His financial services industry experience includes banks, broker-dealers, money services businesses, virtual currency exchanges, credit rating agencies, REITs and casinos.
Alan’s recent AML/CTF experience includes identifying and remediating AML/CTF control deficiencies, program consulting and conducting AML transaction lookbacks, working in conjunction with regulatory bodies.
Alan began his career as an accountant working in the United Kingdom and the USA, before joining Grant Thornton’s risk consulting practice. Alan enjoys building new relationships and keeping up to date with the evolving risk and regulatory landscape through his involvement with professional industry networks and associations, including the Institute of Internal Auditors (IIA) and the Association of Certified Anti-Money Laundering Specialists (ACAMS).
Experience
- Internal Audit – leads co-sourced and outsourced internal audits across a range of industries, including financial services, aged care, healthcare, retail, and not-for-profit
- Quality Assurance Reviews – assesses compliance with Institute of Internal Audit standards and identify better practices to promote and optimise internal audit functions
- Anti-money Laundering / Counter-Terrorism Financing – conducts AML/CTF Independent reviews, designs programs, conducts risk assessments and multi-year transaction lookbacks
- Sarbanes-Oxley (SOX) Compliance – assesses the effectiveness of internal controls and procedures for financial reporting, and assists with the development and documentation of effective internal control environments
- APRA Prudential Standards – assists institutions adhere to prudential standards in line with regulatory expectations
Qualifications
- Bachelor of Business Economics (Finance)
- Certified Anti-money Laundering Specialist (CAMS)
- Institute of Internal Auditors (IIA) member
