Job Description

Role Responsibilities The Transformation, Technology and Operations (TTO) division is responsible for the build and run of the Banks\' technology platforms in addition to providing an operations capability to the business. Within TTO (CIO functions), 1LOD risk management is mostly centrally support including external regulatory and audit engagements. This role will coordinate and support CIO functions with external audit engagements, regulatory engagements, third party (Bank\'s clients), and vendor questionnaires impacting the function / domain, etc. The individual will closely work with various stakeholders across three lines of defence, including external auditors where needed to ensure timely management of RFI as well as potential risk/gaps identified during the lifecycle of regulatory and audit engagement. The individual will be required to support 1LOD CIO function, advise where necessary any control operating ineffectiveness / non-compliance in accordance with the prescribed technology control standards requirements and identify potential gaps/non-alignment with country regulatory expectation or obligations where applicable The individual is also responsible to ensure management regulatory and audit oversight including creation, maintenance, and reporting of regulatory / audit observation, its appropriate management action plans and progress of remediation. Any identified risk, issue and actions are monitored continuously to ensure management action plan are remediated and implemented within agreed timeline (executed by respective 1LOD execution team). Where necessary, appropriate escalation to the senior management on risk matters associated with risk remediation that would have financial or non-financial impact (e.g. regulatory). RESPONSIBILITIES Support audit requests coming from Regulators, External auditors, Third party clients with appropriate acknowledgement and responses in a timely manner, with end to end responsible Foster effective communication and collaboration with internal and external stakeholders. Interface with all service providers where needed including but not limited to Transformation Technology and Operations (TTO), CIO domains to accurately and efficiently complete responses and submission Close collaboration across various technology teams including CIO domains for every engagement requirement. Facilitate RFI lifecycle from inception of request to review and submission of RFI artefacts. Ensure all RFIs properly inventory for audit and record purpose. Ensure timely management of regulatory and audit RFI submission and issues are closed before target dates. Escalate overdue requests or delayed responses as per standard TAT, to facilitate and ensure timely submission. Review potential audit observation or findings with issue owners, ensure factually accuracy before formal submission of management response (with risk mitigation actions) including obtaining necessary head\'s approval. Ensure remedial actions are prioritized into requirements. Conduct risk assessments where needed, identify potential areas of concerns and working with issue / action owners in the implementation of proactive risk mitigation actions Maintain an inventory of regulatory attestation and responses from the POC to expedite future responses. Perform risk-based application control self-assessment with regulatory requirements and IT control standards to assess overall health of an application Ensure management oversight on regulatory and audit matters and working engagement including remediation progress where necessary. Strategy To enhance the efficiency of external and audit engagement procedures through meticulous planning proactive communication and foster strong collaboration relationships with internal and external stakeholders, embracing innovation in audit methodologies and uploading the highest standard of compliance through proactive risk management and communication across technology teams Ensure proper management of external audits and regulatory engagements, track action plans and timely resolution of issues with timely status reporting Support 1/2LOD Line Conformance & Control Testing / Assurance Review SWIFT Assurance & Attestation / CHAPS Attestation Plan and Execute risk-based application controls (ITAC) testing plan to evaluate overall application controls effectiveness Business Critical partner to all lines of defence on regulatory and audit engagement agenda Processes Participate in the start of the regulator & External audit engagement Ensure RFIs are submitted timely Close monitor and management/remediation of the issue People & Talent Provide self-oriented and self-motivating individual, and work with limited direction. Lead through example and build the appropriate culture and values. Set appropriate tone and expectations, and work in collaboration with Risk and Control partners. Build the right mix of subject-matter expertise, and Risk and Control skills. Risk Management Understand the Bank\'s regulatory framework and regulatory requirements / expectations. Learn and understand the Bank\'s Policies, Standards, Technology Processes, Risk, Control and measures. Manage and drive continuous improvement of the TTO CIO Risk Control environment through factual, insightful, analysis of the current environment and validating the same against regulatory and external engagement requirements. Proactive management of regulatory and audit request (RFI) through strengthen collaboration with CIO teams and other functional teams/ risk manager to ensure complete and accurate information are gathered and reviewed before regulatory and audit submission. Collaborate with our TTO CIO partner on any thematic risk observed during regulatory/audits observation, to help identity process improvement Governance Ensure management risk oversight and timely / accurate reporting to the appropriate stakeholders. 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. Lead the Controls team to achieve the outcomes set out in the Bank\'s Conduct Principles: The Right Environment. Effectively and collaboratively identify, escalate, and resolve Conduct and Compliance matters. Provide timely and accurate Risk and Control information as scheduled / as required. Key stakeholders 1LOD CIO Application and Support 1LOD TTO Technology Teams 2LOD Operational Risk 1LOD ICS teams CISRO teams 1LOD Assurance, Conformance and Control Testing Teams QUALIFICATIONS TRAINING, LICENSES, MEMBERSHIPS AND CERTIFICATIONS Education - Bachelors Degree (Major in Technology preferred) Experience in technology risk management, information security, Internal or External or other related technology compliance roles. Preferred experience in Financial Services or other heavily regulated industries (e.g. Healthcare, Government, etc). Self-starter, capable of managing discussions with stakeholders and engagement expectations. Team player and able to coordinate with internal stakeholders. Strong working knowledge of MS Office suite. Strong communication skills. Process management. Our Ideal Candidate Role Specific Technical Competencies Technology Risk Management Quality Assurance and Testing IT Standards, Procedures and Policies Agile Development Operational Risks About Standard Chartered We\'re an international bank, nimble enough to act, big enough for impact. For more than 160 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 . Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term 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, parental/maternity (20 weeks), sabbatical (12 weeks 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 feels respected and can realise their full potential. Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you\'ve applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

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