Snr Mgr, Third Party Controls, Acg

6 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**: 05/Mar/2024, 9:12:31 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 Senior Manager, Third Party Controls role sits within the UK ACG Third Party Controls sub-stream.

The main responsibility of the Senior Manager will be to support the Global IT and 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 and Functions, including TTO risk and control teams, third party information security teams, contract managers and supply chain management.

**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).
- Agree test strategy for each in-scope third party.
- Responsible for review control documentation, understand the SOC report coverage and time period, check controls, assessing gaps.
- Responsible, where applicable, for performing a remote or onsite audit of the third party.
- Responsible for preparing SOX supporting documentation for each third party to include details of the control coverage, risks, deficiencies.
- Coordination activities across the Third Party control testing team and liaise with other related stakeholders as required during the planning and scheduling of reviews.
- If there are controls in which the third party has relied upon SCBs controls (known as complimentary user controls), document these for subsequent checks to confirm that SCB has those controls and that they have been tested / are satisfactory.
- Arrange meetings to facilitate Control testing / validation.
- Diligently provide weekly and ad hoc reporting on the status of assessments.
- Maintain a register of third party control reports.
- Manage and resolve outputs arising from the KPMG QA review of the Third Party controls testing review.

**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.
- 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.
- 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).

**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 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

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