Director, Third Party Controls Acg

4 days ago

Kuala Lumpur, Malaysia Standard Chartered Full time

**Job**: Audit, Accounting & Finance

**Primary Location**: Asia-Malaysia-Bukit Jalil KL

**Schedule**: Full-time

**Employee Status**: Permanent

**Posting Date**: 08/Mar/2024, 1:06:14 AM

**Unposting Date**: Ongoing

**Role Responsibilities**

**Job Summary**
- As part of the global UK Audit and Corporate Governance (UK ACG) programme, the purpose of the role is to support the Global IT & Third Party Lead to oversee / successfully complete the work in relation to Third Party controls for outsourced IT systems &/ or services. This includes the strategic design, workstream plans, design of testing procedures, performing SOX testing for in-scope third parties (including the review of SOC1 & SOC2 reports), and review / agreement of findings (including QA review and challenge) to drive subsequent remediation activities where required.
- The Director, Third Party Controls role sits within the UK ACG Third Party Controls sub-stream. The main responsibility of the Director will be to support the Global IT & Third Party Lead in delivering the third party SOX compliance programme by performing an assessment of controls at external Third Parties who fall within the scope of the UK ACG programme
- This work will involve extensive stakeholder liaison and engagement across KPMG (external advisors), Group, Businesses & Functions, including TTO risk and control teams, third party information security teams, contract managers and supply chain management.
- Facilitates communication and information sharing across teams and senior stakeholders to ensure alignment across stakeholder groups in and outside of the programme.

**Responsibilities**
- Work with the Global IT & Third Party Lead to support the Third Party Controls SOX strategic roadmap, milestone plan and sprints
- In conjunction with the Executive Director, prepare the Third Party Controls testing sprint plans (including key dependencies) which support the broader “Strategy & Approach”
- Prepare inputs to agree test strategy for each in-scope third party
- Define and execute Third Party Control Testing related activities including the gathering and assessment of industry standard control reports (taking into account any available artefacts previously obtained through other departments such as TPSR), engage the third party to discuss remediation activities / control report findings, to plan & action virtual or onsite reviews
- Act as lead point of contact for any onsite reviews
- Support the UK ACG third party controls reviews across the scope of both phase 1 and phase 2 of the programme
- Extensive stakeholder liaison required: Work closely with the TTO, Group, Business and Functions teams associated with the in-scope third parties to investigate any existing external certifications already gathered and coordinate with their Third (& where applicable fourth) Parties to complete the SOX testing reviews
- If there are controls in which the third party has relied upon SCBs controls (known as complimentary user controls), check whether these controls exist and that they have been tested / are satisfactory
- Manage and resolve outputs arising from the KPMG QA review of the Third Party controls testing review

**Business**
- Manage relationships with relevant stakeholders.
- Work closely with impacted businesses and functions to solve issues and spot opportunities as they arise.

**Processes**
- Map the outcomes of phase 1 to the roadmap for phase 1 third party testing, and update to incorporate phase 2 outcomes when available
- Provide support and guidance to the senior manager / manager third party controls as needed to support timely delivery of testing work
- Responsible for ensuring All control exceptions identified are documented in an exception tracker and updated following distribution of final report to relevant stakeholder group
- Diligently provide weekly and ad hoc reporting on the status of assessments
- Responsible for ensuring a complete register of third party control reports and tests
- Lead role when engaging with KPMG during sprint QA review.

**People and Talent**
- Be an example for others to follow with regard to implementation of control testing
- Lead through example and build the appropriate culture and values.
- Work in collaboration with risk and control partners.
- Ensure active communication of workstream priorities and progress to stakeholders to foster engagement, awareness, and motivation
- Maintain a positive attitude with the capability to work under pressure and deliver on multiple deadlines.
- Foster good relationships with the TTO function and third party contract managers across the bank

**Risk Management**
- Responsible for accurate risk reviews / identification of SOX control gaps / risks associated with in-scope third party reviews
- Identify project and business risks, escalating to the Executive Director, Third Party Controls (as appropriate) with strategies to mitigate that risk.

**Governance**
- Adhere to SCB Programme M

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