Anas Sarhan
Toronto,ON
Summary
Strategic risk management professional with extensive experience leading ICFR, SOC 1, SOC 2, and SOX audits, as well as conducting enterprise risk assessments across complex organizations. Skilled in identifying control gaps, assessing technology and business risks, and evaluating compliance with regulatory and industry standards. Possesses strong knowledge of governance, risk, and control frameworks, including ICFR, PCAOB standards, SOX, NIST, COBIT, COSO, and SOC reporting requirements. Proven ability to collaborate with cross-functional stakeholders to strengthen IT governance, enhance security and compliance programs, and deliver actionable insights that drive risk reduction, regulatory compliance, and business value.
Overview
1
1
Certification
5
5
years of professional experience
Work History
Senior Technology Risk Consultant
Ernst and Young
05.2023 - Current
- Performed Financial Audit IT (FAIT) Integration procedures for one of EY Toronto’s most significant audit clients in the Financial Services and Banking Industry
- Led and Performed IT SOX, SOC 1, SOC 2, NIST, and ISO engagements for clients in Financial Services and Insurance
- Managed various work-streams related to the SOX Audit such as Application Controls, Interfaces, IT General Controls, and SOC Report evaluations.
- Recognized with a year-end rating of “Differentiated” which directly represents the quality of documentation and work performed throughout the year.
- Prepared executive-ready PowerPoint summaries of IT risks and remediation timelines for client steering committees.
- Manage onshore and offshore teams and coordinate work assignments to ensure quality work and timeliness to communicate to senior management
- Leading walkthrough meetings with client stakeholders
- Led and coordinated onshore and offshore audit teams, managing work assignments to ensure high-quality deliverables, timely execution, and effective communication with senior management.
- Led walkthrough meetings with client stakeholders to understand business processes, evaluate internal controls, identify key risks, and document audit observations.
Personal Banker and Investment Consultant
TD Canada Trust
Toronto, Ontario
09.2021 - 05.2023
- Reviewed daily investment transactions to confirm compliance with internal policies and regulations, escalating violations to management
- Conducted pre-and post-trade compliance checks across multiple asset classes to detect and escalate exceptions
- Documented compliance exceptions and prepared concise internal summaries for senior management review
- Trained investment staff on compliance requirements and best practices to improve adherence and reporting
- Assess clients' financial situations and provide personalized planning and advice including retirement planning, tax planning, or estate planning
- Promoted and sold investment products and services to clients, including mutual funds, stocks, bonds, and insurance products, enhancing portfolio performance
- Processed mortgage applications while ensuring compliance with lending policies and regulatory requirements.
- Reviewed and validated mortgage documentation to ensure accuracy, completeness, and compliance with bank policies and lending standards.
Education
Bachelor of Science With Honors - Kinesiology and Health Science
York University
Toronto04-2022
Skills
- IT Audit
- IT Risk Assessment
- SOX, ICFR and SOC Reporting
- Risk Management
- IT Compliance
- Information Security Governance
- Third-Party Risk Management
- Business Continuity & Disaster Recovery
- Data Privacy & Regulatory Compliance
- Internal Controls
- Microsoft Excel
- Stakeholder Management
Certification
- 10/01/22, Investment Funds Institute of Canada
- In Progress - CISA (Currently working to obtain my CISA certification)
Future Plans of obtaining CISM and AAIA
Hobbies and Interests
- Creative Writing
- Investing and Financial Markets
- Golf and basketball
- Reading novels
Timeline
Senior Technology Risk Consultant
Ernst and Young
05.2023 - Current
Personal Banker and Investment Consultant
TD Canada Trust
09.2021 - 05.2023
Bachelor of Science With Honors - Kinesiology and Health Science
York University