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Audit Manager, Culture & Compliance

Keywords / Skills : Audit Management, Compliance, Risk Management, Risk Assessment, Risk Culture

5 - 15 years
Posted: 2019-07-01

Nationality
Malaysia
Industry
Banking/Financial Services
Function
Banking, Insurance & Financial Services
Role
Audit
Education
Bachelors
Degree
Posted On
1st Jul 2019
Job Ref code
1900008660
Job Description
Why work at Standard Chartered?


Standard Chartered believe that every one of their colleagues plays a tangible role in delivering their purpose – "Driving commerce and prosperity through our unique diversity." They all feel strongly about living their valued behaviours – Never settle, Doing the right thing, and Better together and their culture makes this organisation special. Standard Chartered Bank have always sought continuously to improve, to challenge themselves and to drive change within the industry, the world we live in, and with themselves to live up to their brand promise - to be Here for good.

The success of the Bank and the achievement of their business strategy hinges on the way they invest in, manage and organise their people, the employee experience they create and the culture they build. Standard Chartered are building a future ready workforce enabled by digital skills, organisational adaptability and leadership at every level. They are committed to creating an inclusive and flexible environment where their diverse talent feels able and inspired to make a meaningful contribution to the prosperity of our clients.


Audit Manager, Culture & Compliance - (1900008660)


Job: Audit

Primary Location: ASEAN & South Asia-Malaysia

Schedule: Full-time

Employee Status: Permanent

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 pro activity 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.

Our Ideal Candidate
  • An experienced practitioner with an appreciation of how culture drives behaviour and an organisation and/ or auditor with a minimum of 5 years relevant experience in audit, governance, human resources/talent management, risk or in a business environment;
  • In-depth understanding of risk management and associated control requirements;
  • Strong communicator, both written and verbal, with ability to clearly explain controls to be tested and risks identified to audit and business management;
  • Confident and courageous to raise and escalate ideas or concerns in a professional and timely manner;
  • Proactive, self-directed and able to work with minimum supervision;
  • Ability to exercise good judgement and objectivity;
  • Ability to work within a global team;
  • Professional audit certification preferred; and
  • Ability to commit to limited business travel.



About Company

Established in 1997, Resource Solutions is a provider of Recruitment Process Outsourcing (RPO) and Managed Service Provider (MSP) solutions.

As part of the Robert Walters Group – a world-leading specialist professional recruitment consultancy, our business has considerable resources at its disposal. With a global footprint across 25 countries, we’re able to work in close partnership with organisations and manage everything from global accounts with demanding resourcing strategies to single sites with lower recruitment volumes.

We currently source and recruit for clients in over 40 countries, manage a recruitment budget of over £2 billion and hire tens of thousands of employees each year. We’re in a strong position in the market, and aim to build on that further still – developing quality solutions and driving service improvement, innovation and value in order to continuously exceed client expectations.
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