Director, CFCC, Assurance

5 days ago

Kuala Lumpur, Kuala Lumpur, Malaysia Standard Chartered Life and Careers Full time
Director, CFCC, Assurance (Malaysia or Poland based)

Area of interest: Governance, Risk Management & Compliance

Conduct, Financial Crime & Compliance (CFCC)'s vision is: Partnering to drive the right outcomes for clients and communities.

The Second Line Assurance (2LA) function within CFCC provides independent, effective, insightful and risk-based assurance across relevant non-financial risk-types. Our vision is ONE approach, ONE plan, ONE mindset: a digital, commercial, and risk-based function that focuses on key risks that impact our clients, business and regulators; Insights that improve client experience and risk management; a talent bank recruiting, growing and delivering even stronger talent.

Responsibilities
  • Collaborate with and support their Head of Assurance, directly contributing to the overall strategy of the function through the development of the 2LA Annual Plan ("the Plan").
  • When leading a Review, communicate outcomes from Assurance Review to relevant stakeholders and support them in developing mitigating actions to correct identified issues.
  • Execute assigned review tasks within the designated business area; identify and record potential issues and ensure that these are formally evaluated according to the Methodology.
  • Actively engage in the Review processes, taking every opportunity to develop their knowledge and understanding of SCB Business and the execution of Assurance while delivering their tasks.
  • Ensure that key changes (to laws, rules, regulations) relevant to the execution of Assurance activities are communicated and cascaded to team members in their area of responsibility.
  • Collect relevant information to develop risk-based assurance reviews to deliver consistency and efficiency across the consolidated plan; provide input to consolidated plan from external regulatory knowledge and subject matter expertise of systems and data.
  • Analyse the relevant principal risk types and risk assessment for the assigned Review; and maintain constant engagement with the first, second and third-line stakeholders.
  • Actively leading or managing 2LA reviews by providing hands-on planning, execution, and governance of reviews, to drive quality and consistency and timeliness as required by the 2LA Methodology.
  • Managing all scoping and set up processes for assigned reviews and assign testing to members of the Review team as required.
  • Ensure that all workpapers and other documentation required for the assigned Reviews are completed timely, adhered to the quality standards required by the 2LA Methodology and captured in the Assurance system.
  • Track issues throughout the issue lifecycle and provide periodic status update in the Assurance system and ensure the remediation of issues arising from assigned Reviews (and any other assigned task) is sustainable and validated before closure. In the event of a serious regulatory breach, or where risk tolerances have been breached, ensure their Head of Assurance is informed, and action is taken quickly to remediate - or related activities are ceased.
  • Promote 2LA co-operation and partnership with auditors, regulators, peers and industry.
  • Monitor quality standards for Review and take action to drive performance improvement where required.
  • Capture and communicate insights arising from Review execution; actively engage in driving improvement of the Methodology.
  • Make recommendations to relevant stakeholders on possible risk management responses to identified risks and / or issues from assurance reviews; support them in the execution of mitigating actions.
Skills and Experience
  • Bachelor's degree or equivalent.
  • Strong audit or assurance with minimum of 8-10 years (or relevant operational risks, compliance, or risk management reviews/testing).
  • Auditing, Compliance, Financial Crime Compliance, Risk Management background required.
  • Experience performing walkthroughs, risk assessments of the internal control environment, testing controls and performing substantive testing.
  • Strong analytical skills and controls assessment, confidence in interrogating data and in managing stakeholders.
  • Excellent oral and written communication skills – ability to present complex information clearly and concisely.
  • Takes responsibility, ownership and accountability for own tasks and work output.
  • Demonstrate a risk-based approach to focus on key risks and sound judgements on matters that can be dealt with independently versus matters that require escalation.
What we offer
  • Career development in a fast-growing company with a clear business strategy.
  • Opportunity to expand international experience and build global professional relations.
  • Competitive benefits package (incl. health & life insurance, pension plan, meal & sports cards).
  • 3 days of paid volunteering leave our employees can use to support the cause of their choice.
  • Convenient location (next to Rondo Daszyńskiego) with subway, tram and bus lines.
  • Comfortable office space with chillout areas, free coffee/tea & fruit supply.
  • Contribution to building our newest Global Business Services centre.
  • 26 days of leave per year for all the employees.
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