Risk

• Work with Philippine T&L Leader, Southeast Asia (SEA) T&L Quality & Risk Leader and Team to execute quality and risk plan and strategies, and where required, execution of SEA and Asia Pacific quality and risk initiatives;
• Develop and foster a consultation network and intelligent risk culture within the T&L practice in Philippine and SEA;
• Assist to develop policy, processes, tools and templates to enable T&L professionals in Philippine and SEA to work efficiently and effectively to deliver client engagements while maintaining compliance with reputation and risk management policies, as well as legal and regulatory requirements;
• Provide consultation on queries raised by Philippine and SEA T&L personnel;
• Review client and engagement acceptance and risk assessment process on daily basis;
• Conducting internal practice review, inflight reviews, spot checks on T&L personnel compliance to the internal policies. Tracking and monitoring of T&L personnel compliance to Firm’s policies, evaluate non-compliances under disciplinary policies and issuing warning letters;
• Deliver risk management learning programs to all T&L professionals;
• Other tasks where required, to support the T&L quality and risk program.

Quality and Risk Assistant Manager

• Conduct controls testing in areas such as purchase to pay, revenue, fixed assets, inventory, treasury, and other financial statement line items
• Assist in walkthroughs to create detailed control narratives.
• Carry out control testing and evaluate supporting evidence.
• Prepare work papers that align with firm and/or client methodology.
• Assist with SOX & SOC testing procedures and related documentation.
• Utilize Microsoft Excel, Copilot and similar tools for analysis and to determine and support audit conclusions.
• Draft clear and professional workpapers.
• Prepare initial observations and identify control deficiencies.
• Document risk assessments and map controls accordingly.
• Maintain well-organized electronic audit files using Fieldguide and other audit repositories.

Risk Advisory Associate

• Coordinate day-to-day operational activities across Finance, Procurement, Banking and BPO processes, including maintaining trackers, preparing materials, capturing meeting outputs and ensuring follow-up actions are completed on time
• Produce process insights, operational summaries and analysis to support governance reviews, compliance activities and continuous improvement discussions
• Monitor offshore BPO workload distribution, SLA/KPI performance and queue trends, escalating risks, backlogs and recurring issues for prioritisation and resolution
• Develop and maintain process maps, SOPs, RACIs and work instructions, ensuring all documentation is accurate, version-controlled and aligned to global standards
• Ensure all documentation is audit-ready and aligned to governance and compliance requirements at all times
• Support the ongoing maintenance of the ServiceNow framework by updating workflows, ticket structures, categories and service catalogue flows to accurately reflect Finance, Procurement and BPO operational processes
• Manage IT Change Requests end-to-end by coordinating impact assessments, tracking progress and ensuring all governance and documentation requirements are met before sign-off
• Engage stakeholders across Finance, Procurement, BPO and IT teams through workshops, governance forums and regular touchpoints, ensuring process updates and changes are clearly communicated and understood across all groups

Process Governance and Operations Lead

• Conduct thorough KYC and CDD checks for onboarding.
• Resolve alerts and Level 1 findings, and escalate per Policies and Procedures.
• Assist with Transaction Monitoring activities.
• Ensure compliance with all relevant regulatory requirements, including AML, KYC, and data privacy laws.
• Conduct regular compliance audits and assessments to identify and address any non-compliance issues as directed.
• Support in fraud prevention strategies, including resolving alerts from monitoring systems.
• Investigate and analyze fraudulent transactions to identify patterns and improve prevention measures.
• Collaborate with cross-functional teams to enhance fraud detection and prevention capabilities.
• Identify, assess, and mitigate operational risks that could impact the company's business operations, financial performance, or reputation.
• Support and maintain business continuity plans to ensure resilience in the face of disruptions.
• Assist to provide guidance and training for relevant processes.

Risk Ops Analyst

• Perform a variety of projects and initiatives that will help capture key business risks and address systemic and thematic issues across the different functions in the Global Investments Operations group.
• Timely and accurate data gathering, research, data analytics, testing and coordination with various leaders and SMEs from other teams to identify the root causes.
• Work with operations, technology and business stakeholders for resolution, execution and post-implementation support and controls.
• Manage all relevant controls and governance reporting via PowerBI or other relevant reporting/dashboard platforms.
• Ensure the completion of team’s daily business deliverables and adherence to agreed Service Level Agreement and Schedule of Services.
• Diligently work with Investment Operations and other internal/external teams on process and production updates and issues relevant to completion of tasks.
• Responsible for reviewing Cash and Position exceptions as part of the Recon Governance model.
• Collect, analyze, and interpret data from various sources to create comprehensive reports.
• Develop and maintain reporting templates and dashboards for various stakeholders and ensure accuracy and consistency in all reporting outputs.
• Be able to train team members in building business dashboards.
• Draft, edit, and distribute internal communications, including newsletters, announcements, and presentations.
• Aid in the preparation of Management Information reports such as data gathering, data cleansing.
• Lead operational process improvements, recommend, and initiate tactical solutions/initiatives, and actively participate on projects such as system transitions (UAT), process transformations etc.
• Aid in the successful delivery of compliance, audit, and regulatory facilitated requirements.
• Aid in the technical capability development of the team.
• Ensure procedures are updated and lead the annual procedure exercise.
• Remain updated with relevant industry development and market-specific best practices.
• Act as back-up Subject Matter Expert as required, participate in a regular program of industry-specific training and interdepartmental cross-training to ensure continuity of service and capability development.

Controls and Governance Specialist

• Design, implement and lead a global risk management strategy for the organization.
• Establish and quantify the organization's 'risk appetite' and ensure risk approach adheres accordingly.
• Horizon scan to increase awareness of risks affecting the business.
• Ensure compliance with regulatory obligations whilst taking a commercial and practical approach to risk based challenges and offer appropriate solutions.
• Continual drive for enhanced efficiency and client service (internal and external) in all Risk processes.
• Develop, lead and motivate the Risk to maximize effectiveness.
• Ensure senior management remain informed of regulatory, legislative and best practice changes and their obligations under these changes and how they impact the Group.
• Provide regular reports to boards and other relevant bodies detailing any current issues or information as required.
• Corporate governance involving external risk reporting to stakeholders.
• Lead the client on-boarding team driving efficiency in all processes to most effectively adhere to our risk appetite.
• Conduct internal audits, including liaison with external auditors.
• Provision of proactive and practical regulatory advice to business managers and support functions.
• Manage the successful delivery of compliance projects ensuring technical excellence and a practical/business driven approach.
• Work closely with key stakeholders to understand the business requirement for projects, develop effective working relationships during project implementation and ensure business as usual ownership is understood by management.
• Support and lead on Group projects as assigned.

Deputy Chief Risk Officer

• Determine the inherent risk tier (Tier 1, Tier 2, or Tier 3) for every third party prior to contracting or engagement, consistent with the criteria defined in TPRM02.
• Perform and document inherent risk assessments during onboarding, according to the policy reassessment schedule (annual for Tier 1 and bi-annual for Tier 2 vendors), and whenever a material change occurs in the vendor relationship.
• Administer the due diligence process, including the issuance and evaluation of vendor due diligence questionnaires (DDQs), SOC 1 and SOC 2 reports, financial statements, insurance certificates, business continuity and information security documentation, and licensing or regulatory standing.
• Maintain the authoritative third-party inventory, including assigned risk tier, services provided, data classification, system access, contract status, and all supporting documentation.
• Administer the Company’s vendor management software platform, including profile setup, document collection, workflow configuration, expiration tracking, contract repository management, and audit history maintenance.
• Monitor all vendors, contractors, and third-party counterparties against the FHFA Suspended Counterparty List (SCL) prior to engagement and on a recurring monthly basis; immediately escalate any matches to General Counsel and Compliance.
• Coordinate contract reviews with Legal to ensure all required clauses are included, including information security, confidentiality, audit rights, subcontracting, breach notification, business continuity, termination, and return or destruction of data provisions.
• Track and report vendor incidents, performance issues, breaches, and remediation activities; communicate findings to business owners and escalate material concerns to the Risk Management Committee.
• Maintain documentation of vendor reviews, due diligence activities, identified risks, and required remediation efforts; provide training to business owners on intake and approval workflows.
• Administer the vendor termination process, including coordination of the return of Company property and the return or destruction of Company data and information in accordance with legal and regulatory requirements.
• Document and route policy exceptions for approval by the Third-Party Risk Manager and, when required, the Risk Management Committee.
• Prepare periodic TPRM reporting and performance metrics for senior leadership, the Risk Management Committee, internal audit, external examiners, investors, and warehouse lenders.
• Support audits and regulatory examinations by producing vendor inventories, risk assessments, due diligence files, and program documentation upon request.
• Coordinate with the AI Governance Committee on due diligence and risk tiering activities related to third-party AI solutions and AI-enabled vendor features, consistent with RAIG01 Section 10.
• Lead the annual review of the Third-Party Risk Management Policy (TPRM02) and recommend revisions for approval.
• Perform other duties and responsibilities as assigned.

Third-Party Risk Manager

Risk Advisory Consultant

• Report to the relevant Risk and Control Assistant Vice President. Cultivate and maintain professional relationships with management and staff in the business, external auditors and R&C colleagues.
• Involvement in the day-to-day execution of the annual SOC 1 engagement / controls testing in a quality manner including timely work paper completion and reporting. This will include liaising and working with key individuals responsible on related SOC 1 review work as well as business representatives across various offices, locations and time zones working with your supervisor.
• Involvement in the execution of control effectiveness reviews including responsibility for work paper completion, identification of risk issues, and escalation of relevant matters identified in the review process to R&C management.
• Preparation of various reports, presentations and other project work as assigned.
• Assist in managing the data input of key information in line with pre-defined requirements and with electronic filing of supporting documentation.
• Assist with administrative tasks such as setting up project folders, updating internal procedure documents, preparing ad-hoc reporting, etc.
• Manage the R&C mailbox for the distribution of SOC 1 reports internally and externally.
• Foster risk and control awareness across the organization by working with management and second line of defense functions.
• Maintain expertise and pursue training to keep abreast of new and proposed developments in the SOC 1, Risk Management and auditing fields and consider the impact on the company through various industry organizations.

Senior Risk and Control Analyst

• Assist with the oversight of the identification, development, implementation, and management of governing documents
• Support Document Owners in fulfilling governing document management responsibilities and determining document scope
• Coordinate approval governance and ensure appropriate stakeholder involvement
• Liaise with Enterprise policy owners and managers on impact and communication of global policies
• Maintain and manage the inventory of governing documents
• Identify and collaborate with Subject Matter Experts (SMEs) for document development and review
• Provide review and challenge for governing documents
• Ensure documents adhere to policy, style guides, and classification standards
• Oversee implementation plans, monitor adherence, and escalate exceptions or breaches as necessary

Consultant, Policy Governance

• Support the implementation of environmental management strategies and sustainability initiatives across project sites.
• Assist in ensuring compliance with environmental legislation, permit requirements, corporate standards, and international frameworks.
• Support the preparation and review of Environmental Impact Assessments (EIA) and related environmental studies.
• Identify environmental risks and support the implementation of mitigation and monitoring measures.
• Monitor compliance with environmental permits, commitments, and site-specific management plans.
• Support implementation of waste management, water management, biodiversity conservation, and environmental monitoring programs.
• Coordinate environmental reporting requirements with government agencies, consultants, and project teams.
• Participate in site inspections, audits, and environmental compliance assessments.
• Support Social Impact Assessments (SIA) and other studies aimed at identifying social risks and opportunities.
• Assist in implementing human rights due diligence processes and Human Rights Impact Assessments.
• Engage with local communities and stakeholders to communicate project activities and address concerns.
• Support the development and implementation of community development and social investment initiatives.
• Assist in monitoring social performance indicators and implementation of social management plans.
• Support grievance management processes and stakeholder engagement activities.
• Coordinate with project teams to ensure alignment between ESG commitments and project execution activities.
• Support identification, assessment, and monitoring of ESG risks and opportunities throughout project development and construction.
• Contribute to the implementation of project Sustainability Master Plans and ESG action plans.
• Collect, analyze, and report ESG performance data for internal management, lenders, regulators, and other stakeholders.
• Support sustainability reporting requirements and monitoring of key ESG indicators.
• Assist in implementing corporate initiatives related to decarbonization, circular economy, waste reduction, resource efficiency, and sustainable procurement.
• Support ESG audits, compliance reviews, and corrective action tracking.

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