Audit Manager - Treasury- GCFO

Standard Chartered
Work location
Bangalore
Salary
₹0 - ₹0
Type
Full Time
Category
CA,
Experience
4 - 10 Years
Skills

Job Views: 30

Job Applicants: coming soon

Posted: 239 Days ago

Key Skills

Job Description

To be a Treasury SME providing support to GIA’s coverage at a Group and Country level.  Responsibilities include: being a team member/leader on audits and where opportunity arises, taking the Team lead role; maintaining, reviewing and updating standard test programmes; supporting relationship management with the first and second lines; performing risk assessments for relevant auditable entities including emerging risks; and, advising/knowledge sharing of Treasury SME with other audit teams.

Roles & Responsibilities

The Role Responsibilities

  • To be a Treasury SME providing support to GIA’s coverage at a Group and Country level.  Responsibilities include: being a team member/leader on audits and where opportunity arises, taking the Team lead role; maintaining, reviewing and updating standard test programmes; supporting relationship management with the first and second lines; performing risk assessments for relevant auditable entities including emerging risks; and, advising/knowledge sharing of Treasury SME with other audit teams.
  • To act as a Team Member on assigned audit work across GCFO (with a focus on Treasury / Capital & Liquidity Risk) across the Group;
  • Where opportunities arise, act as Team Leader and take responsibility for overseeing the planning and execution of the audit, maintaining the audit budget, including drafting of audit issues and the audit report;
  • To ensure that assigned audit 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. Take ownership for agreeing factual accuracy of issues during audits and draft the first versions of the issues for the Senior Audit Manager, Head of Audit.
  • Support cross department 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 relating to the individual’s area of expertise;
  • To provide ongoing continuous monitoring support to Heads of Audit (HOAs) and Senior Audit Managers (SAMs) 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

Strategy

  • Support the HOA and SAMs where required, in the development of the GIA risk assessment and development of an appropriate audit plan for the HOA’s assigned portfolio – in this case Treasury, Capital & Liquidity
  • 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.

Audit Delivery

  • Participate as team member or team leader for assigned audit work and potentially lead the more complex audits connected to Treasury, Capital & Liquidity; Treasury;
  • Ensure that audit deliverables meet quality standards and timelines in line with the GIA methodology;
  • Draft and submit inputs to the audit scope (including the Audit Planning Memo and Process Risks Controls Matrix) proposed by the Audit Lead;
  • Take responsibility for agreeing factual accuracy and drafting audit issues for inclusion in the audit reportfor the sections being worked.
  • 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.

Risk Assessment

  • Support the HOA 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 HOA, as appropriate;
  • Be prepared to raise issues/concerns outside the normal audit process;
  • At the request of the HOA, attend relevant meetings (e.g. Management Groups and Committees) 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.

Stakeholder Management

  • Establish and maintain effective working relationships with the management of business units which fall under risk assessment responsibility.

People and 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 Lead on how best to work on them during the work;
  • Identify and successfully complete key internal training for self-development; and
  • Support the HOA to proactively spot talent for GIA.

Governance

  • Assist the HOA 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.
  • 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, 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; and
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures

Your Skills and experience

Your Experience and qualifications

  • Experience in audit, governance, risk or in a business environment;
  • Professional audit certification or relevant other qualification relevant to Treasury (eg, ACT) preferred

Company Details

About Company

Standard Chartered Bank

Company Information

We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.  

To us, good performance is about much more than turning a profit.  It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good. 

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.

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