Iulia Suharev
Global Assurance Capability & Reporting Specialist In Financial Crime Prevention Assurance
Zug
Summary
With 14 years of experience in compliance and internal auditing in the banking and pharmaceutical sectors, my passion for continuous learning and desire to enhance organizational and individual performance drive me. As a Certified Internal Auditor and proud member of the Institute of Internal Auditors, USA, I am committed to promoting efficiency and ensuring compliance.
Overview
16
16
years of professional experience
4
4
years of post-secondary education
4
4
Languages
Work History
Director in Financial Crime Prevention Assurance
UBS
01.2024 - Current
- Built a legal inventory of financial crime laws and regulation which was used by Regional Teams covering AML/KYC, Fraud, ABC, Sanctions
- Compared the FCP testing methodologies of the 2 banks and rolled out the uplifted and enhanced FCPA program to regional teams covering the areas of Fraud, AML/KYC, Sanctions and Bribery and Corruption
- Improved Regional team awareness of crime prevention methods through educational presentations and workshops, as well as the new FCP Assurance program
- Performed the cross-regional and thematic annual plan for the 2 banks covering all divisions and entities, as well as documented the criteria and the methodology of the plan
- Executed the QA function for all the reviews done globally and regionally
- Reviewed and challenged closure packs for the identified issues before their closure
- Performed global reviews in the mandate of the FCPA function.
VP Financial Crime Compliance Controls Testing and Assurance
Credit Suisse AG
06.2021 - 12.2023
- Hired the team which consists of 7 direct reports, 3 in Switzerland, 3 in Spain and 1 in Brazil (from Staff to VP level)
- Reviewed and tested controls in the area of onboarding, KYC periodic review, governance, policies and procedures, transactions surveillance, name screening, investigations and suspicious activity reports and client Off-boarding, covering all divisions: Investment Banking, Asset Management and Wealth Management
- Presented reports to CEOs, COOs and CCOs in EMEA locations with addressing the risks and root causes, as well as presenting solutions
- Led a team of consultants that worked on delivering FINMA commitments (approx 10 people) for Asset Management and Wealth Management divisions, located in Singapore, Guernsey, Brazil, Luxembourg and Switzerland.
VP US CB, FATCA, AEI Compliance Testing
Credit Suisse AG
02.2019 - 05.2021
- Built the Risk Assessment Model by identifying quantitative and qualitative criteria for FATCA/AEI for all bank’s divisions (International Wealth Management, Swiss Universal Bank, Global Markets, Asset Management, APAC) and wrote the FATCA/AEI Risk Assessment Manual covering 11’000 legal entities
- Tested booking centers and advisory offices for implementation of US CB, FATCA/AEI Policy within the Wealth Management, Swiss Universal Bank and Global Markets divisions
- Performed, analyzed, commented on monthly/quarterly metrics for FATCA/AEI and US CB
- Elaborated test scripts for FATCA testing.
VP US CB Compliance Officer and Regulatory Affair
Credit Suisse AG
09.2018 - 02.2019
- Built the Risk Assessment Model for US CB and wrote the US CB Risk Assessment Manual
- Tested 15 International Locations for implementation of US CB Policy within the bank, wrote respective reports and presented them to the senior management
- Reviewed and closed US Indicia.
Senior Manager Internal Auditor (CEEMEA Region)
Novartis International AG
08.2017 - 09.2018
- Elaborated audit programs, check lists and questionnaires
- Executed any additional tasks delegated by the Regional Head of Internal Audit
- Acted as a team member for four audits during one year
Internal Auditor (CEEMEA Region)
Novartis International AG
06.2016 - 08.2017
- Led the audit team (up to 4 team members) and monitored the progress of the audit engagement
- Performed risk based audits and applied risk assessment for preparing of audit programs
- Wrote audit reports and presented them to members of local Management Board
Experienced Auditor
ProCreditBank Moldova
07.2014 - 02.2016
- As team leader, reviewed the work of other audit team members in order to ensure the aspired quality
- Obtained responses on draft audit reports from the Management Board
- Discussed audit results with the respective branch / unit / department managers.
Experienced Auditor
ProCredit Holding AG & Co. KGaA
04.2015 - 12.2015
- Performed audits as a team leader (leading up to 3 team members) in the group countries (16 countries)
- Performed the analysis and compiled quarterly reports regarding annual plan implementation on the group level
- Monitored actions performed by the banks from the group regarding closing of major observations and actions.
Auditor
ProCreditBank Moldova
09.2008 - 07.2014
Education
Bachelor of Economics - finance
Academy of Economic Studies
Chisinau, Moldova 01.2004 - 06.2008
Skills
- Risk Management
- Critical thinking
- Analytical skills
- Attention to details
- Thinking outside the box
Timeline
Director in Financial Crime Prevention Assurance
UBS
01.2024 - Current
VP Financial Crime Compliance Controls Testing and Assurance
Credit Suisse AG
06.2021 - 12.2023
VP US CB, FATCA, AEI Compliance Testing
Credit Suisse AG
02.2019 - 05.2021
VP US CB Compliance Officer and Regulatory Affair
Credit Suisse AG
09.2018 - 02.2019
Senior Manager Internal Auditor (CEEMEA Region)
Novartis International AG
08.2017 - 09.2018
Internal Auditor (CEEMEA Region)
Novartis International AG
06.2016 - 08.2017
Experienced Auditor
ProCredit Holding AG & Co. KGaA
04.2015 - 12.2015
Experienced Auditor
ProCreditBank Moldova
07.2014 - 02.2016
Auditor
ProCreditBank Moldova
09.2008 - 07.2014
Bachelor of Economics - finance
Academy of Economic Studies
01.2004 - 06.2008
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