Associate, Controls and Compliance
Concentrix
Muntinlupa City
2d ago

Risk Assessment and Controls Setting

  • Facilitate Risk assessment tool set documents for all high impact processes and ensure the documents are reviewed every 6 months and changes should be highlighted to the management as well as to the client Create, review, update and test the FMEA document plus other internal risk assessment tool such as SAPs
  • Establish & execute control testing protocols to ensure relevant controls work the way they are defined. It’s imperative to highlight the deficiencies in controls to relevant stake holders along with the mitigation plan FMEA Control Testing and other due diligence / surveillance checks specific to the Program
  • Work across teams and help them in establishing controls to mitigate the deficiencies highlighted through internal audits and engage relevant teams to cater to deficiencies highlighted through testing packs and show case improvements due diligence / surveillance checks to be aligned with contractual requirements in preparation of any type of audits
  • Facilitate Control design effectiveness and control operational efficiency improvements through RCAs
  • Operations across sites (if applicable) should have a robust risk document in place FMEA document and Control Testing
  • Risk reporting is consistent, clear, accurately measured, and communicated timely by Risk & Compliance
  • Continue visiting the Inherent Risk on the Risk profile for Operations on a quarterly basis to ensure that the team understands what can go wrong and takes relevant actions for mitigating all such issues only if Client requires but standard for all Programs is the Fraud FMEA document which is to be reviewed at least annualy (more for banking and healthcare)
  • Be actively involved in the change management process to ensure all relevant risks are highlighted through the impact assessment on all Change Requests RCOs to be involved in risk assessment of any new / update in the process so the FMEA document may also be up to date
  • Help the teams to adhere to KCO requirements through regular checks and flag all anomalies to the management spotchecks / monthly surveillance, etc.
  • Have full understanding of whistle blowing’ and take appropriate action when required, ensure all staff understands responsibilities and check understanding on regular basis.
  • Compliance

  • Ensure all client, regulatory and statutory trainings are catered to effectively.
  • Ensure thorough and complete Integrity training and education in their unit - with zero tolerance of company violations
  • All BCP plans to be up to date, tested and signed-off with incidents fully investigated to identify root cause and improvements - year end date given as testing is over 12 months but tracked monthly to work closely with our BCP team for any BCP-related requirements in the MSA
  • Establish testing packs for all Regulatory & statutory deliverables from Org & Client stand point and execute the same on a monthly basis to highlight deficiencies.
  • control testing, due diligence, surveillance checks, etc.

  • Ensure all Audits for the year are Green with no major non-conformances reported for the process
  • Facilitate the requirements enunciated by all functions with the R&C framework and take them to closure
  • Ensure that Service Excellence drives risk culture and delivery at all levels of the operation
  • Governance and Reporting

  • To help identify trends in data collected, highlighting issues and submitting recommendations for action.
  • Collect and collate data on a regular basis to ensure reporting standards and requirements are met
  • To identify any compliance related issues in their day to day work and escalating these if appropriate to the Line Manager for consideration and action
  • Maintain control of all Compliance logs and ensure all new policies have Compliance sign-off
  • Manage Fraud and drive Fraud Prevention activities on the Delivery floor
  • Take initiatives to spread awareness on business and Concentrix requirements (including internal audits, contractual requirements, BCP, regulatory and statutory) among all staff members
  • Risk Assessment and Controls Setting

  • Facilitate Risk assessment tool set documents for all high impact processes and ensure the documents are reviewed every 6 months and changes should be highlighted to the management as well as to the client Create, review, update and test the FMEA document plus other internal risk assessment tool such as SAPs
  • Establish & execute control testing protocols to ensure relevant controls work the way they are defined. It’s imperative to highlight the deficiencies in controls to relevant stake holders along with the mitigation plan FMEA Control Testing and other due diligence / surveillance checks specific to the Program
  • Work across teams and help them in establishing controls to mitigate the deficiencies highlighted through internal audits and engage relevant teams to cater to deficiencies highlighted through testing packs and show case improvements due diligence / surveillance checks to be aligned with contractual requirements in preparation of any type of audits
  • Facilitate Control design effectiveness and control operational efficiency improvements through RCAs
  • Operations across sites (if applicable) should have a robust risk document in place FMEA document and Control Testing
  • Risk reporting is consistent, clear, accurately measured, and communicated timely by Risk & Compliance
  • Continue visiting the Inherent Risk on the Risk profile for Operations on a quarterly basis to ensure that the team understands what can go wrong and takes relevant actions for mitigating all such issues only if Client requires but standard for all Programs is the Fraud FMEA document which is to be reviewed at least annualy (more for banking and healthcare)
  • Be actively involved in the change management process to ensure all relevant risks are highlighted through the impact assessment on all Change Requests RCOs to be involved in risk assessment of any new / update in the process so the FMEA document may also be up to date
  • Help the teams to adhere to KCO requirements through regular checks and flag all anomalies to the management spotchecks / monthly surveillance, etc.
  • Have full understanding of whistle blowing’ and take appropriate action when required, ensure all staff understands responsibilities and check understanding on regular basis.
  • Compliance

  • Ensure all client, regulatory and statutory trainings are catered to effectively.
  • Ensure thorough and complete Integrity training and education in their unit - with zero tolerance of company violations
  • All BCP plans to be up to date, tested and signed-off with incidents fully investigated to identify root cause and improvements - year end date given as testing is over 12 months but tracked monthly to work closely with our BCP team for any BCP-related requirements in the MSA
  • Establish testing packs for all Regulatory & statutory deliverables from Org & Client stand point and execute the same on a monthly basis to highlight deficiencies.
  • control testing, due diligence, surveillance checks, etc.

  • Ensure all Audits for the year are Green with no major non-conformances reported for the process
  • Facilitate the requirements enunciated by all functions with the R&C framework and take them to closure
  • Ensure that Service Excellence drives risk culture and delivery at all levels of the operation
  • Governance and Reporting

  • To help identify trends in data collected, highlighting issues and submitting recommendations for action.
  • Collect and collate data on a regular basis to ensure reporting standards and requirements are met
  • To identify any compliance related issues in their day to day work and escalating these if appropriate to the Line Manager for consideration and action
  • Maintain control of all Compliance logs and ensure all new policies have Compliance sign-off
  • Manage Fraud and drive Fraud Prevention activities on the Delivery floor
  • Take initiatives to spread awareness on business and Concentrix requirements (including internal audits, contractual requirements, BCP, regulatory and statutory) among all staff members
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