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Compliance Analyst

Makati City , Philippines

Ref#: 20001440

Date published: 17-Jan-2020

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To implement, complete, coordinate and track compliance/assurance activities and action plans for Property Asset Management (AM). Ensure AM processes, policies, procedures, playbooks, guidance notes and other related processes are being adhered to, facilitating a consistent, compliant, and controlled process in support of CBRE service delivery activities on a global retail bank client.  Perform Control Reviews and Control Sample Testing across all countries globally and use the evidence provided by the country teams to determine compliance and adherence to policy / process.


  • Background – Finance/Business Administration or similar degree with good understanding of Enterprise Risk Management and Internal Controls
  • Operational Experience – Minimum 3-5 years
  • Individual must be results driven, have attention to detail, has passion to learn, drive best practices and continuous improvement, and skilled at diplomatically breaking down barriers and obstacles
  • High level of computer literacy with Excel spreadsheets (macro), Word processing, PowerPoint, Skypes and Outlook etc.
  • Good proficiency of both Chinese and English, read and write, ideally one other Asian language 


  • To act as account single point of contact for AM Control Sample Testing (CST). Timely completion of monthly, quarterly, bi-annual and annual CST workpaper meeting Client’s reporting deadlines.
    • Completion of CST workpapers (WP) monthly on high, medium, low and other risk controls for AM
    • Report results in EORP (Client’s Enterprise Operational Risk Platform) monthly, bi-monthly, quarterly, bi-annual and annual in accordance with Client’s Operational Risk reporting timelines
    • Audit/check on the evidences supporting those controls are properly loaded in Asset Management SharePoint (AM SP)
    • Follow up with asset managers in any queries or documentation in relation to those controls
    • Agree action plans with the asset managers in case the controls are not properly implemented
    • Upload the final CST WP and Salesforce report in AM SP and CBRE SP 
  • Owner of the CST Manual (process document for CST) to ensure the CST process flows and content are updated per the latest AM operational risk control framework. Own housekeeping reminders to AM ensuring all completed transactions are validated in Salesforce ready for CST.
  • Be the AM quality assurance owner reviewing AM Control Review (CR) papers returned by asset managers
    • Review CR WP completed by AM are in properly order, including evidence / supporting doc are well referenced in the WP
    • Audit/check the evidence / supporting are properly loaded in AM SP
    • Follow up with asset managers in any queries or documentation in relation to those controls
    • Agree action plans with the asset managers on the action plans in case the controls are not properly implemented
  • Other ad-hoc reporting and analysis as required.
  • Be responsible for co-coordinating creation of new playbooks and processes as and when required
  • Work closely with other functions (e.g. Lease Admin) in the Philippines ISC to ensure that the Account aims and objectives are achieved 
  • Other tasks, including but not limited to housekeeping and managing access controls in AM SP, as may be prescribed from time to time.