I have extensive experience working with regulatory frameworks like SOX, GDPR, and PCI-DSS. In my previous role, I conducted audits to ensure compliance with SOX by reviewing financial controls and processes. For GDPR, I assessed data protection measures and ensured adherence to privacy regulations. With PCI-DSS, I evaluated payment processing systems to safeguard sensitive cardholder data. My approach involves thorough documentation, risk assessment, and collaboration with stakeholders to implement corrective actions, ensuring compliance and minimizing risks.

I stay updated by subscribing to regulatory newsletters, attending industry webinars, and participating in professional development courses. I also follow updates from regulatory bodies like the SEC, FCA, and ICO. Networking with peers in compliance forums and joining professional organizations such as the IIA or ACFE helps me stay informed. Regularly reviewing regulatory updates and integrating them into audit processes ensures that my knowledge remains current and applicable to the organization's compliance needs.

During an audit, I identified a significant gap in anti-money laundering (AML) controls, where transaction monitoring systems were not flagging high-risk activities. I documented the issue, quantified the risk, and presented it to senior management with actionable recommendations. Collaborating with the AML team, we enhanced monitoring rules, provided staff training, and implemented periodic reviews. This proactive approach not only resolved the issue but also strengthened the organization's overall compliance framework, reducing the risk of regulatory penalties.

I prioritize tasks by assessing the risk, regulatory deadlines, and organizational impact of each audit. Using project management tools, I create detailed timelines and allocate resources efficiently. High-risk areas or audits with imminent deadlines take precedence. Regular communication with stakeholders ensures alignment and timely progress. I also delegate tasks to team members based on their expertise, ensuring quality and efficiency. This structured approach allows me to manage multiple audits effectively while maintaining accuracy and compliance.

I ensure clear communication by tailoring my language to the audience, avoiding technical jargon, and focusing on the impact of findings. I use visual aids like charts and graphs to simplify complex data. Summarizing key points in executive summaries and providing actionable recommendations helps stakeholders understand the implications. I also schedule follow-up meetings to address questions and ensure alignment on next steps. This approach fosters transparency and facilitates informed decision-making across all levels of the organization.