Regional Senior Audit Manager

Job Description

Role Responsibilities GIA represents the Third Line of Defence and provides independent assurance of the effectiveness of management s control of business activities (the first line) and of the control processes maintained by the Risk Framework Owners and Policy Owners (the second line). GIA works with the Groups other control functions, such as Finance, Risk and Compliance, but does not place unqualified reliance on their work. GIA is an independent function whose primary role is to help the Board and Executive Management to protect the assets, reputation and sustainability of the Group.As defined in the Audit Charter, all staff in GIA must exhibit the highest level of professional objectivity in gathering, evaluating and communicating information about the activity or process being examined. They must make a balanced assessment of all the relevant circumstances and not be unduly influenced by their own interests or by others in forming judgments. GIA will adhere to the Definition of Internal Auditing, the Core Principles for the Professional Practice of Internal Auditing, Code of Ethics and the Standards for the Professional Practice of Internal Auditing that are published by the IIA. It is expected that all members of GIA strive to operate as role models for the Group s valued behaviours.In addition to the responsibilities defined in the Audit Charter to protect the assets, reputation, and sustainability of the group, the role holder will support the Head of Audit on the delivery of the GIA Strategy for their respective portfolio. There are increased audit requirements, both regulatory and risk-based that demands technical expertise and engagement with senior stakeholder(s) at the Rubik Group Consolidated level
• Group Internal Audit (GIA) in Standard Chartered Bank, Hong Kong is looking for an exceptional and dynamic Regional Senior Audit Manager, a role which offers potential for growth with broad responsibilities for HK and the GCNA region
• This Hong Kong role includes the strategy and management of audit deliveries across a portfolio of work in Hong Kong and GCNA focused on CPBB.
• The role holder will be required to balance involvement in in complex cross-functional and multi-location audits with the need for ongoing stakeholder management and execution across several CPBB markets, including HK, Taiwan and China. .
• This role is based in Hong Kong.
Personal Behaviours
• Role model the valued behaviours and develop an environment which celebrates positive behaviours and challenges poor culture.
• The role holder will take on responsibility for problem solving and driving delivery for the wider HK audit team, including in areas managed by other Senior Audit Managers.
• Serve as the Hong Kong portfolio subject matter expert for CPBB proactively engage with peers and stakeholders, to maintain, build and share knowledge.
• Proactively seek an external lens to support delivery of meaningful audit work.
• Support GIA audit teams, by supplying product knowledge and expertise for their audits.
• Take the lead in delivering department-wide exercises, such as annual planning, risk assessment and training.
Strategy
• Understand both the Group s overall strategy, especially in relation to CPBB, and GIA s priorities to drive excellence within GIA Hong Kong. Assist the CHOA to deliver the GIA overall Hong Kong risk assessment and design the risk-based audit plan for the CPBB portfolio.
• Design and own audits to address key risks and regulatory requirements/ expectations including an overall approach to the delivery of ad hoc regulatory reviews and SPM-driven audit requirements.
• Assess the continued relevance of the audit plan throughout the year and propose appropriate changes.
• Ensure that audit team operates in line with the Audit Charter during engagements, remains independent from management and free from interference.
Business (budget)
• Effectively manage the time allocation of audits within allocated budget.
• Identify and implement opportunities for improved productivity in own audits and across the broader HK audit team.
Audit Delivery
• Perform, support, or lead where directed, the planning, fieldwork, and reporting of internal audit engagements to deliver agreed assurance objectives to established GIA standards and timelines.
• Deliver quality audit reports that are effectively written with practical, actionable, measurable and value-added recommendations.
• Share knowledge, skills and experience with team members and the wider GIA on risk management of technology enabling key business processes and clients. Assist in conducting training sessions for GIA Stakeholders on topics related to emerging risk themes.
Audit/Departmental Processes
• Maintain processes for the collation and analysis of audit data required by the Hong Kong Country Team and where relevant to the Rubik Group
• Take the lead in preparing key GIA outputs, including Audit Committee, MANCO and ERC papers for finalisation by the CHOA.
• Oversee the maintenance of the record of GIA Auditable entities, including all regulatory requirements and risk based activities at HK-solo and Rubik Consolidated level
• Take the lead amongst the Senior Audit Managers for maintaining the audit schedule and associated allocation of work for agreement with the CHOA.
• Update the Continuous Risk Assessment on a regular basis to identify changes in risk profiles and document these in a timely manner, proposing changes to the assigned audit plan, as appropriate;
• Assist the CHOA in standardisation and documentation of processes, risks, and controls and work with internal stakeholders to build comprehensive and simple test procedures.
• Assist the CHOA to track and consolidate all team specific related audit issues raised by GIA, Regulators or Monitors and provide periodic updates to internal GIA Management and senior risk committees of the Bank.
• Apply an in-depth understanding of, and compliance with, GIA methodology standards and the GIA system in all areas of assigned GIA activity.
• Evaluate quantitative and qualitative data (using data analytics) to diagnose underlying issues, trends and root causes.
• Support the CHOA with the monitoring and tracking of audit issues and action plans, and reporting of overdue items to the relevant stakeholders.
People and Talent
• Demonstrate strong leadership and ability to motivate and guide your audit team.
• Share knowledge to increase specialism within the function.
• Influence change within the department by highlighting potential enhancements.
• Identify growth areas on an ongoing basis and identify how best to develop them.
• Provide performance feedback, as appropriate, at the end of an audit.
• Facilitate the development of audit team members by providing on the job training and recommending formal training to support GIA activities.
• Proactively spot talent for GIA.
Our Ideal Candidate
• Strong background in audit (with a focus on banking and financial controls) with a minimum of +10 years of experience.
• Strong knowledge and understanding of CPBB Business is preferred.
• Professional Audit qualification preferred with experience in executing a risk-based Audit Methodology, or a similar methodological approach.
• Attention to detail and curiosity. Strong analytical skills and eager to learn.
• Good awareness of HKMA regulatory approach and regulations and emerging risks in banking industry.
• Excellent writing and articulation skills to succinctly communicate complicated technical issues in business terms.
• Strong interpersonal skills for building and maintaining credibly effective working relationships with counterparts in Group Internal Audit and business stakeholders.
• High degree of responsibility, self-motivated, requiring minimal supervision.
• Ability to collect and objectively analyse and apply information, thinking out of the box where necessary, in supporting the planning, fieldwork or reporting of results of audit engagements.
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Keyskills :
accountinginternal auditaccountscode of ethicson thetrainingkeeping things simpleincome taxstrong analytical skills