Auditor - Functions

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Auditor – Functions role in Shanghai shaping future banking audits.

Join Standard Chartered to lead Finance, Property and Treasury audits with impact.

Job Summary

Diversity & Inclusion Statement

• • Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging and have the opportunity to maximise their personal potential.

Job Description

• • Group Internal Audit (GIA) is looking for an experienced and dynamic audit professional with a solid background and strong knowledge around the key risks and controls in the Finance, Property and Treasury functions.
• • The role-holder will be an integral part of the Finance, Property (East) and Treasury (East) Audit team. The team provides independent assessments of risk management and internal control environment of the Finance, Property and Treasury functions globally.
• • We pride ourselves in being auditors of the future, forward-looking and agile with a keen focus on smarter auditing. When you join us, you will enter a role that challenges the status quo and moves mindsets and be a part of the future of banking.
• • This role currently reports to Head of Audit Vietnam, Australia and Finance, Property (East) and Treasury (East).

Key Responsibilities

• • To act as Team Lead/ Team Member, as necessary, and take responsibility for contributing to the delivery of high-quality Finance, Property and Treasury function audits, the performance of which cause minimal disruption to the business.
• • To role model the valued behaviours and develop an environment in which positive behaviours are celebrated and poor culture is challenged.
• • To execute assigned audit work, as well as the work carried out by the team, in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards.
• • To clearly identify the risks and impact of issues during issue writing, agreeing these issues with management and obtaining quality management action plans to mitigate the risks raised.
• • To support GIA audit teams by providing product knowledge and expertise for their audits relating to the individual’s area of responsibility.
• • Issue validation: All audit issue action plans agreed during audit fieldwork should be tracked through to completion in accordance with methodology requirements.
• • To prepare and provide information for various country reports for submission to the regulator or management as required by the Country Head of Audit.

Strategy

• • Audits assigned to the individual in the GIA audit plan should address the key risks identified in the detailed risk assessment and in the audit planning process and meet relevant regulatory requirements and expectations that are required to be covered by GIA.
• • Ensure that audit team operates in line with the Audit Charter during engagements, remains independent from management and free from interference.

Business

• • Effectively manage the cost of assigned audits within the allocated budget for their areas within audit engagements

Processes

• • To act as Team Lead/ Team Member on assigned audit work across the Group.
• • When Team Leading to provide clear guidance, detailed review and supervision of the audit team’s work so that audit deliverables meet quality standards and timelines in line with the GIA methodology.
• • When Team Leading to provide guidance on business/audit technical knowledge and management skills to team members to enable them to effectively deliver their assigned contributions for an audit.
• • Provide technical input and challenge on audit work being undertaken within the scope of assigned product area of responsibility. This will include working with the audit team to produce outputs of high quality which address the areas of greatest risk.
• • Support adherence to the GIA methodology in all areas of the audit engagement, as well as raising awareness and understanding of the methodology.
• • Demonstrate sound knowledge of both business/technical areas and expert knowledge in the audit process, including the GIA system, so that audit work is carried out to a high standard that meets all methodology and GIA system requirements.
• • Monitor the implementation/delivery of the agreed issues/audit plans for the audits assigned, understanding the key risks arising, provide advice on resolution of issues to auditees/action plan owners and elevate audit findings that remain unresolved.

People & Talent

• • Share knowledge to increase specialism within the function.
• • Influence change within the department by highlighting potential enhancements.
• • Identify growth areas on an ongoing basis and identify how best to develop them.
• • When Team leading provide performance feedback, as appropriate at the end of an audit.
• • Identify and successfully complete key internal training for self-development.
• • Facilitate the development of audit team members by providing on the job training and recommending formal training to support GIA activities

Risk Management

• • Assist in the update of the assigned Continuous Risk Assessment on a regular basis to identify changes in risk profiles and document these in a timely manner, proposing changes to the assigned audit plan, as appropriate.
• • Promote early identification and escalation of risks, issues, trends and developments to relevant stakeholders. Be prepared to raise issues/concerns outside the normal audit process.
• • Adopt an anticipatory approach to risk assessment through stakeholder engagement and monitoring of the external environment to improve audit planning; and
• • Review MI and reports regularly to keep up-to-date with key trends within the business and audit deliverables

Governance

• • Manage the relevant portfolio stakeholders and establish good working relationships to help the businesses improve the control environment and keep updated with changes in the business impacting their risk profile.
• • Use networks and relationships to build engagement and achieve results.
• • Escalate delays in the execution of audit work, both to auditee management and GIA Management.
• • Be able to clearly explain issues identified along with the risks and root causes to GIA and business management, using language designed to be understood by non-experts

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.
• • Support GIA 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.
• • Effectively and collaboratively identify, elevate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders

• • Designated business stakeholders, typically related to assigned portfolio; and
• • GIA stakeholders – team leaders, team members, team managers, and Heads of Audit.

Other Responsibilities

• • Embed Here for good and Group’s brand and values in GIA; and
• • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
• • Understand, acknowledge and comply with the requirements on individual accountabilities and responsibilities of the job set out in applicable local laws and regulations as well as SCB internal policies.
• • Effectively ensure and intensify internal controls by keeping abreast with developments of applicable local laws and regulations on accountabilities.
• • Perform job duties with diligence, contribute to efforts as an individual or as a team
• • Be responsible for failure to follow relevant rules and processes, failure to properly perform the responsibilities, and implement corrections.
• • Cooperate with any investigations or reviews on regulatory failure such as accountability review.
• • Properly perform the duties on supervisory, audit and risk control, including but not limited to
• • contribute in the formulation or amendment of audit, risk control and accountability policies;
• • participate in the internal investigations or reviews on regulatory failure such as accountability review.
• • Be responsible for regulatory failure or risks arising from or in connection of failure to perform the duties on supervision, audit and risk control.

Qualifications

• • Experience in audit, governance, risk or in a business environment.
• • Professional audit certification preferred.
• • Professional accounting or finance certification (CPA, CFA, etc) preferred. 
• • Good communicator, both written and verbal, with an ability to influence and an ability to gain the respect of senior management, regional stakeholders, peers and their teams.
• • Confident and courageous to raise/escalate issues in a pro‑active, professional and timely manner.
• • Self-directed and able to work with minimum supervision. 
• • Demonstrate understanding of and commitment to the Group’s core values.

Skills and Experience

• • In-depth understanding of Finance and Treasury risk management, processes and associated control requirements;
• • Strong communicator, both written and verbal, with ability to clearly explain controls to be tested and risks identified to audit and business management
• • Confident and courageous to raise and elevate ideas or concerns in a professional and timely manner
• • Proactive, self‑directed and ability to work within a global team

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thing  and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle,  continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together,  we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter,  we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

Core bank funding for retirement savings, medical and life insurance,  with flexible and voluntary benefits available in some locations.

Time-off  including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.

Flexible working  options based around home and office locations, with flexible working patterns.

Proactive wellbeing support  through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits

A continuous learning culture  to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.

Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feel respectful and can realise their full potential.