Mgr, Third Party Controls, Acg
2 months ago
**Job**: Audit, Accounting & Finance
**Primary Location**: Asia-Malaysia-Bukit Jalil KL
**Schedule**: Full-time
**Employee Status**: Permanent
**Posting Date**: 05/Mar/2024, 9:18:43 PM
**Unposting Date**: Ongoing
**The Role Responsibilities**
**Job Role**
As part of the global UK Audit and Corporate Governance (UK ACG) programme, the purpose of the role is to support the Global IT and 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 and SOC2 reports), and review / agreement of findings (including QA review and challenge) to drive subsequent remediation activities where required.
The Manager, Third Party Controls role sits within the UK ACG Third Party Controls sub-stream.
The main responsibility of the Manager will be to support the Global IT nad 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.
**Strategy**
- Understand the workstream objectives and roadmap.
- Understand the control objectives and test procedures.
- Gather any existing industry standard control report (e.g. SOC1, SOC2, ISAE3402) previously obtained in relation to the third party or engage the third party to gather evidences or plan for a virtual or onsite review (in the absence if any supporting SOX report).
- Responsible for review control documentation, understand the SOC report coverage and time period, check controls, assessing gaps.
- Responsible for preparing SOX supporting documentation for each third party to include details of the control coverage, risks, deficiencies.
- Where required, support any remote or onsite audit of the third party.
- Arrange meetings to facilitate Control testing / validation.
- Involvement in subsequent QA of results as required.
- Diligently provide weekly and ad hoc reporting on the status of assessments.
- Maintain a register of third party control reports.
**Business**
- Manage relationships with relevant stakeholders on related projects, collaborating closely.
- Work closely with businesses and functions impacted by relevant projects to solve issues and spot opportunities as they arise.
**People and Talent**
- Be an example for others to follow with regard to implementation of control testing.
- 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.
**Regulatory and 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.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- Lead the [country / business unit / function/XXX [team] to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment].
- Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association.
**Key Stakeholders**
- Global IT and Third Party Lead
- Executive Director Third Party Controls
- UK ACG Project and Programme Managers
- Project / programme steering committee stakeholders
- TTO stakeholders, including those within Risk and Controls function
- A Bachelor's degree in Computer Science, Management Information Systems or Business (e.g. Accounting, Business Administration, Economics, Finance, Management, Statistics preferred)
- Working knowledge & experience of process mapping, controls identification and an understanding of SOC1, SOC2 industry reports is essential.
- Ability to draft reports that clearly communicate observations and risks would be required.
- Able to work in a flexible and agile way.
- Effective communicator and collaborator with the ability to engage team, peers, and management.
- Good eye for detail and with a strong focus on Controls and compliance to policies and procedures.
- Self-motivated individual and able to drive results. And able to work independently.
- Strong team player and has the capacity to build good working relationships.
- Ability to multi-task, meet agreed timelines and respond quickly to management requests.
- Strong verbal and wri
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