Audit Manager - Compliance, Conduct and FCC
The Role Responsibilities
- To act as a Team Member on assigned audit work involving Compliance, Conduct, Regulatory Reform and Financial Crime Compliance (FCC) risk across the bank;
- To act as Audit Engagement Leader and take responsibility for overseeing the planning and execution of the audit, maintaining the audit budget, including drafting of audit issues and the audit report;
- To ensure that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards;
- To clearly explain the risks and impact of issues identified during testing to GIA and business management
- The individual may support in department wide exercises such as annual planning, risk assessment and training.
- 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;
- 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.
- 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;
- Contribute to the CCFC audit team in achieving the outcomes set out in the Bank's Conduct Principles: Financial Crime Prevention and The Right Environment; and
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- 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.
- 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 financial crime practitioner or auditor with a minimum of 5 years relevant experience in audit, governance, risk or in a business environment;
- In-depth understanding of financial crime risk management and associated control requirements;
Apply now to join the Bank for those with big career ambitions.