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Support the CHOA, where required, in the development of the GIA risk assessment and development of an appropriate audit plan for the CHOA's assigned portfolio.
Support the CHOA to ensure that the scoping of audit work assigned addresses the key risks identified in the detailed risk assessment and in the audit planning process, and meets relevant regulatory requirements and expectations that are required to be covered by GIA.
Participate as a team leader and team member in audit work, and manage simple audits depending on the skills of the individual.
Support the team manager by executing audit planning, fieldwork, reporting and issue tracking for work assigned in an efficient and effective manner such that audit work meets the given budget, quality standards and timelines required by the GIA methodology.
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 to diagnose underlying issues, patterns and root causes.
Monitor/track assigned audit issues and action plans, and report overdue items to the appropriate team manager/PHOA/CHOA for escalation to the appropriate business manager and/or governance committee for resolution.
Assist in the early identification and escalation of risks, issues, trends and developments for reporting to the line manager /CHOA. Raise issues/concerns outside the normal audit process, where appropriate.
For assigned audits, engage with the auditees and team manager on the status of rollout of the Operational Risk Framework and effectiveness of ORMAF/ORF.
Adopt an anticipatory approach to the assessment of risk through stakeholder engagement and the monitoring of the external environment to improve audit planning.
Regularly review Country related MI and reports to keep up-to-date with key trends within the business.
At the request of the line manager/CHOA, attend Country meetings (e.g. BORF, CORC) to keep up-to-date on key business matters and to provide the right challenge to ensure risks are appropriately identified, discussed and timely remediation plans are put in place.
Engage the GIA portfolio champions to update the permanent audit file within 4 weeks of the end of an audit.
GIA acts as the third line of defence under the Risk Management Framework and provides independent assurance of the effectiveness of management's control of business activities (the first line) and of the processes maintained by the Risk Control Functions (the second line). GIA provides risk-based assurance that the system of control is working as required by the Risk Management Framework.
GIA staff shall have no direct operational responsibility or authority over any of the activities subject to Internal Audit's review. The Group Head, Internal audit is also responsible for ensuring that no staff in the function carry out any activity which may jeopardise their independence.
Ensure compliance with the highest standards of regulatory conduct and compliance practices as defined by internal and external requirements.
Adopt the Group's values and code of conduct in GIA to ensure adherence with the highest standards of ethics and compliance with relevant policies, processes and regulations.
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.
Lead the audit team to achieve the outcomes set out in the Bank's Conduct Principles: Financial Crime Prevention and The Right Environment.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Professional audit certification (Certified Information Systems Auditor) is a must .
An experienced career auditor (internal or external) or a business person with a minimum of 3 years relevant experience in audit, governance, risk or controls in a business environment.
Understanding of business strategy, plans, products, performance and related issues at the business unit level.
Strong communication skills, both written and verbal, with ability to influence business management, other stakeholders and peers.
Confident and courageous to raise/escalate issues in a proactive, professional and timely manner.
Proactive, self-directed and able to work with minimum supervision.
Ability to manage an audit team.
Ability to work in dynamic environment and meet strict deadlines.
Demonstrate understanding of, and commitment to, the Group's core values.
Industry Type :
Banking / Financial Services / Broking
Functional Area :
Accounts / Taxation / Audit / Company Secretary