Certified Internal Auditor (CIA), Auditing, Compliance

Andrii Usyk

**** ****** *, ******** ** *****

Email: ******.****.*@*****.***. Cell: 917-***-****

SUMMARY OF QUALIFICATIONS

-Extensive experience in internal auditing, risk assessment, compliance.

-Conducted internal audit activities including financial and operational audits, testing controls, evaluated internal controls in banking activities. Identified weaknesses in the scoring process of potential borrowers, the formation of reserves for loan operations, identified frauds, including related to money laundering, abuses in the procurement, etc. Prepared recommendations for minimizing risks and increasing the efficiency of processes

-Built the system to identify, assess and manage compliance risks as a result of this actual losses did not exceed the risk appetite adopted by the Supervisory Board, supervised the project on the annual self-assessment of compliance risks developed and implemented appropriate policies to comply FATCA

CERTIFICATIONS

Certified Internal Auditor (CIA), April 2017

Diploma in International Financial Reporting (DipIFR) ACCA, December 2012

EXPERIENCE

VTB Bank, Ukraine February 2015 - March 2017

https://vtb.ua/ru

Chief Compliance Officer

Built a system to identify, assess and manage compliance risks, which allowed to minimize losses of the company, to comply with the limits of risk appetite adopted by the Supervisory Board and improve business processes

Supervised the project on the annual self-assessment of compliance risks, participated in the development of a risk profiles, the determination of level of residual risk and the construction of a compliance risk map

Monitor changes in banking legislation, monitored the implementation of legislative changes in the bank's activities

Participated in the development of new products, services, processes, and internal regulations for compliance by the bank

Identified conflicts of interests, including at the high level of management, successfully resolved them

Coordinated activities to comply with Foreign Account Tax Compliance Act (FATCA Responsible Officer), developed and implemented appropriate policies.

Developed a technical task to automate the process of customer identification, which greatly improved the quality of data for FATCA reporting

Consult and train staff on FATCA, compliance, which led to the improvement of the culture of risk management by the bank's employees and increased awareness of the importance of internal controls in the organization

VTB Bank, Ukraine May 2008 - February 2015

https://vtb.ua/ru

Senior Auditor

Introduced a risk-oriented approach to planning audit tasks, which allowed to focus on more risky areas of activity and to increase the efficiency of the use of the audit resources

Participated and lead internal audit activities including financial and operational audits and tested controls and procedures. Identified violations and frauds in internal control systems of retail lending processes, AML, procurement, etc. violations of the law, internal procedures and provide recommendations

Developed audit programs, flowcharting techniques and working papers on checking loans deals (including the correctness of the calculation of reserves for potential losses), settlement and deposit transactions as a result of this, the quality of the audit was improved and the time for preparing final audit reports on decreased from 9 days to 5 days.

Design and conduct ongoing and remote audit of branch network and test control points of banking processes for their adequacy

Prepare audit reports for Management Board and Supervisory Board, conduct follow-up

ProCredit Bank, Ukraine June 2006 - April 2008

http://en.procreditbank.com.ua

Auditor

Assessed internal control systems and risks in organization of all banking processes, including fraud in cash transactions and procurement, identified shortcomings in the process of issuing visas, which led to the loss of commission income of the bank.

Assessment of efficiency and compliance of existing internal rules, external rules and procedures, prepared the auditor reports, control implementation of auditors’ recommendations

Kiev National University of Technology and Design November 2005 - June 2006

Economist of Financial Department

Planning and organization of research work, analysis data

Checking on use the budgetary funds

EDUCATION

Kiev National University of Technology and Design 2003-2006

Master's of Accounting and Audit

Кiev Technical College 1999-2003

Junior specialist of Accounting and Audit

SKILLS

Experience with PC applications (Microsoft Office suite); work with pivot tables in Excel, various special software such as credit module Loans, Scrooge, B2, IS Card

Member of The Institute of Internal Auditors (IIA)

Fluent in Russian, Ukrainian

INTERESTS

Oil painting, art, gardening, billiards

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