Senior Audit Manager - Financial Crime Compliance

Job Description

• 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;
• 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.

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.

Communication

• 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;
• 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.

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 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;
• Strong communicator, both written and verbal, with ability to clearly explain controls to be tested and risks identified to audit and business management;
• CAMs qualified;
• 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.

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Keyskills :
internal auditstatutory auditincome taxaccountingaccountscode of conductaudit reportaudit planningbusiness unitsstatements of work sow