Lin Zhang

Audit Senior @EY

Edinburgh, GB

Applied the knowledge of CASS 6,7 and 8 to identifying and assessing client activities that contained potential significant CASS risks- Skeptical mindset in challenging evidence when executing walkthrough and test of controls on client money, custody, mandate, segregation, ISEM, acknowledgement letters, errors, complaints, corporate actions and due diligence- Exposure to assessing and evaluating firms’ CASS rule mapping and risk framework to determine whether the processes and framework in place are at a required level- Articulated entity’s business processes, analysed and reviewed the design and effectiveness of internal controls implemented by management; identified significant weaknesses and recommended improvements therein- Identified operational risk in ITDM in card transactions where transactions with errors were automated, coordinated with Tech Risk team on client inquiry and evidence of IT codes, which resulted in more detailed documentation, deeper understanding and more robust assurance over the control; Gained understanding in IT systems including TSYS, First Vision, also helped with resolving SOCD in payment controls through liaising with EY sub-teams and thoughtful client inquiries- Conducted audit procedures in both P&L and B&S accounts including interest payable/receivable, fees & commissions receivable, other operating income, credit/debit cards, derivatives, mortgages, intangible assets, PPE, investment in subsidiaries, provisions, cash, intercompany balances, loans & advances to customers, deposits by customers, fund and asset under management reconciliation; Delivered technical and judgemental work such as loan file review, financial lease receivable, estimate lead sheet;

Sanming University

Bachelor‘s degree of Science, Chemistry

Fuzhou University

Master of Translation and Interpretation, English Translation

University of Glasgow

Master of Science - MS, Psychology