稽核經理 Auditor

Job Description
RESPONSIBILITIES
Strategy

• Support the Country Head Of Audit (CHOA) and Team Managers (TMs) where required, in the development of the GIA risk assessment and development of an appropriate audit plan for Taiwan;
• Propose audits for coverage during the audit cycle based on their knowledge of the business; and
• Carry out their role in line with the Audit Charter and remain independent from management and free from interference.

Business

• Assist the CHOA to effectively manage the cost of assigned audits and/or investigations within the allocated budget for engagements.
• Identify opportunities for efficiencies within audit and/or investigation work.

Processes

• Participate as Team Leader and/or Team Member for assigned audit and/or investigation work and potentially lead the more complex pieces of work;
• Ensure that audit and/or investigation deliverables meet quality standards and timelines in line with the GIA methodology;
• Draft and submit inputs to the audit and/or investigation scope (including the Audit Planning Memo and Process Risks Controls Matrix) proposed by the Audit Team Leader and/or Audit Team Manager;
• Assist in the drafting of the audit and/or investigation report in the GIA report review process; and
• Track the implementation/delivery of the agreed issues and action plans for the audits assigned, understanding the key risks arising, provide advice on resolution of issues to auditees/action plan owners and escalate audit findings that remain unresolved.

People & Talent

• Demonstrate proactivity and positive engagement during team sessions;
• Influence change within the department by highlighting potential enhancements;
• Identify growth areas at the start of each audit, and discuss with the Audit Team Leader on how best to work on them during the work;
• Identify and successfully complete key internal training for self-development

Risk Management

• Support the CHOA to update the relevant assigned risk assessments on a regular basis to ensure that changes in risk profiles are identified in a timely manner, proposing changes to the assigned audit plan to the CHOA, as appropriate;
• Be prepared to raise issues/concerns outside the normal audit process;
• At the request of the CHOA, attend relevant meetings (e.g. business or functional risk governance meetings) to keep up-to-date on key business matters and provide the right challenge to ensure risks are appropriately identified, discussed and timely remediation plans are put in place; and
• Review MI and reports regularly to keep up-to-date with key trends within the business

Governance

• Assist the CHOA to manage the relevant Product/Country clients, 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;
• Ensure clear communication of findings/issues/root causes to all relevant clients and monitor/escalate any overdue actions plans to the appropriate business manager and/or governance committee for resolution; and
• Ensure timely escalation of delays in execution of audit work, both to auditee management and GIA management.

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.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key Stakeholders

• Designated business stakeholders, typically related to individual audit assignments and the assigned portfolio; and
• GIA stakeholders – team leaders, team members, team managers, Product, Functional, Country and Regional Heads of Audit

Other Responsibilities
Embed Here for good and Group's brand and values in GIA; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats);

• To act as a Team Leader and/or Team Member on assigned audit and/or investigation work involving Taiwan across the Group;
• To act as Team Leader and take responsibility for overseeing the planning and execution of the audit and/or investigation, including drafting of audit and/or investigation issues and the audit report;
• To ensure that assigned audit and/or investigation work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards;
• To clearly explain the risks and impact of issues identified during testing to GIA and business management
• The individual may support in department wide exercises such as annual planning, risk assessment and training.
• To actively manage relationships with senior auditee management and stakeholders
• To support GIA audit teams by providing product/country knowledge and expertise for their audits and/or investigations relating to the individual's area of expertise;
• To provide ongoing continuous monitoring support to CHOA and TMs in respect of the business and raise issues and observations outside of formal audit work to expedite rectification of control weaknesses; and
• Issue validation: Ensure that all audit issue action plans agreed during audit fieldwork are tracked through to completion in accordance with methodology requirements

Qualification

• Education Bachelor's degree or above
• Training Familiarity with banking regulations

At least 7+ years of experience in banking (compliance, risk management or risk governance roles preferred)

• Certifications Taiwan Academy of Banking and Finance (TABF) certified banking auditor is desired
• Languages Good communication skill with the ability to clearly articulate thoughts in both Chinese and English

Role Specific Technical Competencies

• GIA Methodology and Systems
• Stakeholder Engagement
• Manage audit activities effectively and efficiently throughout the audit lifecycle, including Continuous
• Monitoring, Risk Assessment, Audit Report Writing
• In-depth understanding of risk management 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 escalate ideas or concerns in a professional and timely manner.
• Proactive, self-directed and able to work with minimum supervision.
• Ability to work within a global team
• Knowledge of commercial and investment banking

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 feels respected and can realise their full potential.

Profile Description
Standard Chartered Bank