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Audit Manager, Culture and Compliance

Keywords / Skills : reports, Audit Manager, Audit, Audit planning, profit, audit work,

5 - 8 years
Posted: 2019-12-03

Nationality
Malaysia (Candidates authorized to work in the above mention countries are also eligible to apply)
Industry
Banking/Accounting/Financial Services
Function
Banking, Insurance & Financial Services
Role
Audit
Compliance & Control
Other BFSI
Education
Bachelors
Degree
Masters
Post Graduate
Posted On
3rd Dec 2019
Job Ref code
1900026593
Job Description
The Role Responsibilities

*Strategy 

Support the HOA and SAMs where required, in the development of the GIA risk assessment and development of an appropriate audit plan for the HOA's assigned portfolio with particular focus on Culture ;

Propose audits for coverage during the audit cycle based on their knowledge of the business; and

Carry out their role in line with the Audit Charter and remain independent from management and free from interference. 

*Business (Budget) 

Assist the HOA to effectively manage the cost of assigned audits within the allocated budget for audit engagements.

Identify opportunities for efficiencies within audit work.


*Audit Delivery 

Participate as team member or team leader for assigned audit work and potentially lead the more complex audits such as cross-functional and multi-location high risk audits; 

Ensure that audit deliverables meet quality standards and timelines in line with the GIA methodology; 

Draft and submit inputs to the audit scope (including the Audit Planning Memo and Controls document) proposed by the Audit Lead; 

Assist in the drafting of the audit report in the GIA report review process; and 

Track the implementation/delivery of the agreed issues and action plans for the audits assigned, understanding the key risks arising, provide advice on resolution of issues to auditees/action plan owners and escalate audit findings that remain unresolved. 

*Risk Assessment 

Support the HOA to update the relevant assigned risk assessments on a regular basis to ensure that changes in risk profiles are identified in a timely manner, proposing changes to the assigned audit plan to the HOA, as appropriate; 

Be prepared to raise issues/concerns outside the normal audit process; 

At the request of the HOA, attend relevant meetings (e.g. PSCs, Management Groups and Committees) to keep up-to-date on key business matters and provide the right challenge to ensure risks are appropriately identified, discussed and timely remediation plans are put in place; and 

Review MI and reports regularly to keep up-to-date with key trends within the business. 

*Stakeholder Management 

Establish and maintain effective working relationships with the management of business units which fall under risk assessment responsibility. 

*People and Talent 

Demonstrate proactivity and positive engagement during team sessions; 

Influence change within the department by highlighting potential enhancements; 

Identify growth areas at the start of each audit, and discuss with the Audit Lead on how best to work on them during the work; 

Identify and successfully complete key internal training for self-development; and 

Support the HOA to proactively spot talent for GIA. 

*Governance 

Assist the HOA to manage the relevant Product/Country clients, and establish good working relationships to help the businesses improve the control environment and keep updated with changes in the business impacting their risk profile; 

Ensure clear communication of findings/issues/root causes to all relevant clients and monitor/escalate any overdue actions plans to the appropriate business manager and/or governance committee for resolution; and 

Ensure timely escalation of delays in execution of audit work, both to auditee management and GIA management. 

*Regulatory & Business conduct 

Display exemplary conduct and live by the Group's Values and Code of Conduct; 

Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct; 

Support GIA to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment; and 

Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. 

*Key Stakeholders

Designated business stakeholders, typically related to individual audit assignments and the assigned portfolio; and

GIA stakeholders - team leaders, team members, team managers, Product, Functional, Country and Regional Heads of Audit. 

*Other Responsibilities 

Embed Here for good and Group's brand and values in GIA; and

Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

About Company

About Standard Chartered
We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
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