Ken is a Risk Assurance Services Partner in the PwC Toronto office. In this role he specializes in risk management and information systems, with a particular focus in the Financial Services industry.
For more than 10 years, Ken has helped clients find the right balance of risk management and controls. His key areas of focus include:
- Sourcing advisory lifecycle, including sourcing readiness assessments, sourcing strategy, RFP development and delivery, RFP evaluation, transition assistance, and ongoing vendor and supplier risk management programs
- Project assurance, risk management and governance through his role as an independent project assurance specialists for clients
- Performance assurance and independent audits of vendor controls. Ken assists clients in evaluating and navigating decisions regarding third party reporting options such as SOC 1, SOC 2, and SOC 3 for outsourced service providers and their customers. Ken also leads the delivery of a number of third party reporting engagements including reporting including SOC 1 reporting (CSAE 3416, ISAE 3402, SSAE 16), SOC 2 reporting (AT-101, S5025) and Agreed Upon Procedures Reporting
- Guidance on regulatory filings such as NI 52-109 (CSOX) and compliance with external assessments. This has included initial design, implementation, and ongoing delivery of internal controls over financial reporting programs.
- Asset management operations including front office, middle office, valuations operations, back office, fund accounting, transfer agency, custody, securities lending
- Pension operations including investment operations and member services operations
- Internal audit and IT governance services focused in the areas of IT Controls and Governance as well as Business Process Controls and Application Controls.
- External audits of IT controls and processes. Ken regularly supports PwC’s Audit practice in the execution of annual financial statement audits for financial services clients.