Senior Audit Manager, Quality Assurance

This job is with Standard Chartered Bank, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

Job Summary

The QA Partner for Group Internal Audit & Investigations (GIAI) central processes & Investigations is a Senior Manager role reporting to the Head of Quality Assurance ("QA Lead") for GIAI central processes & Investigations.

As a senior member of an independent, professional team, the QA Partner will support the development and delivery of a world leading Quality Assurance (QA) function within GIAI. A key focus will be developing the Group Investigations assurance coverage strategy, following the integration of Group Investigations into Group Internal Audit.

The QA Partner is responsible for the assurance over activities within GIAI COO and Group Investigations, providing thematic insights on GIAI activities and assurance on the effectiveness of Group Investigations. They will aid in the development and execution of the QA strategy set by the QA Leads for GIAI, and support other aspects of the QA risk-based plan and stakeholder engagement.

The role is responsible for assessing and improving the quality of GIAI processes and investigations in accordance with the GIA Methodology, Group Investigations Standard, Audit Charter, the IIA Standards and all relevant regulatory requirements..

The QA Partner will help drive the delivery of GIAI's strategy and evolution of the broader GIAI function by providing insights and recommendations to the Global Head, Quality Assurance & Professional Practices (QAPP) and other QA Leads and contributing to process improvements based on QA results.

The QA partner is expected to prioritise multiple assurance reviews, tasks, projects, and responsibilities while maintaining positive collaborative experiences and stakeholder relationships. They will help ensure senior management are kept informed of relevant reviews and outcomes.

The QA partner will support in the development of QA's data analytics capabilities to automate Quality Assurance compliance checks and reporting,

ensuring relevant management information is provided to key stakeholders. Also, monitor developments in financial crime and misconduct including internal and external trends. Support GIAI and Group Investigations in dissemination of relevant training and emerging trends and practices.

The QA Partner is expected to have strong technical skills and specialist knowledge of risk management, investigations and data risk management. In addition, working experience on how a large financial services organisation should independently conduct appropriate investigations in order to minimise financial losses, reputational and regulatory risks, operational risk events involving criminal conduct, dishonesty or deliberate breaches of policies or regulations.

Key Responsibilities

Strategy

The QA Partner will be expected to make a strong and proactive contribution across all core QA activities including :

Execution of the Quality Assurance Plan and QA Coverage Strategy that appropriately addresses the GIA Methodology, IIA Standard and regulatory requirements / expectations.

Providing a valued, quantitative and a qualitative programme of quality assurance on material GIA activities and processes and solution orientated improvement plans.

Collaborating with the GIA Professional Practices and People team to enhance existing approaches, methodologies and toolkits to ensure they remain leading class and current.

Ensuring that they consider GIAI's and Group's strategy and can form an independent view of whether the key risks in their covered portfolio have been appropriately tested in the audits selected for review.

QA Partners are expected to remain current with changes in regulatory expectations of GIA. Demonstrating a proactive mindset, and always looking for new opportunities to develop.

Business

Awareness and understanding of the wider business, economic and market environment in which the Group operates. Investigations experience is essential.

Ensuring flexibility in the QA approach to meet the evolving requirements of the risks associated with the GIAI process universe.

Deliver timely, effective and impactful written and verbal communications with key stakeholders on the progress of QA activity.

Coordinate identification of themes, trends and lessons learnt from QA reviews to support the continuous improvement of GIAI's processes and control environment. ​​​​​​​

Processes

Execute and report upon GIAI quality assurance reviews, identification and reporting of gaps and process improvement activities.

Validation the remediation of issues and, as directed, assist in the co-ordination of assurance coverage and review findings to ensure adequate oversight and tracking of remediation.

Assist in the information gathering and preparation of the periodic summary reports by QA to GIAI senior management and relevant governance forums and audit committees (including reports of the results of internal and external quality assessments and improvement programmes).

Assist in the development, implementation and execution of the Quality Assurance & Improvement Programme framework.

Assist in the development, administration and maintenance of QA standards, policies and procedures.

Assist GIAI AET, the COO team and other GIA staff in preparing for and participating in external assessment conducted by regulators and other third parties.

Participate in ongoing assessment processes e.g. GIA strategic projects or operational programmes (e.g. guest auditor or graduate programmes) as agreed and directed by Group Head of GIA and / or Global Head, QAPP.

Execute and report upon special project or ad-hoc work as directed by the Global Head, QA and / or GHoA.

Ability to take the lead on core projects and handle complexity with minimal supervision, as required.

Creating and delivering training to support the on-going development of knowledge and skills within GIA.

People & Talent

Lead by example and build the appropriate culture and values according to Group's Priorities and Strategy

Establish, develop and maintain close collaboration with key stakeholders to fully embed the GIAI Quality Assurance & Improvement Programme.

Adopt a flexible approach in supporting other areas within GIAI QA to promote effective and efficient allocation of resources.

Utilise external and internal networks to leverage and develop insights.

Risk Management

Responsible for identifying, assessing, monitoring, controlling and mitigating risks to GIAI and the Group. Also, an awareness and understanding of the main risks facing GIAI and the Group and the role the individual plays in managing them.

Governance

Stay informed of the GIAI strategy and coverage, to corroborate compliance with the highest standards of regulatory conduct and compliance practices as defined by internal and external requirements.

Maintain awareness and understanding of the regulatory framework in which the Group and GIAI operates and the regulatory requirements and expectations relevant to the role.

Embed the Group's values and Code of Conduct in GIAI QA team to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees' form part of the culture.

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.

Execute the QA coverage of GIAI to achieve the outcomes set out in the Group's Conduct Principles : The Right Environment; Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Prevention.

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

Key stakeholders

GIAI LT and team members

GIAI COO and Professional Practices

Second line assurance and compliance teams

Professional Services Companies

Ideal Candidate-

Experience advising or managing complex investigations and related risks representing financial institutions.

Working experience of conducting fact finding into allegations or incidents involving possible breaches of law, regulation, Group policies or standards that pose potentially significant financial, legal, regulatory, or reputational risk.

Experience of an investigation processes, including data source identification, extraction, gathering, analysis, communications, action planning, notifications, and data analysis. With knowledge on strategies and improvement plans to reduce complaint activity.

Ability to assess the accuracy and appropriateness of documentation to support investigations.

Sound understanding of relevant laws and regulations relevant to Group, the role of Investigations, and key government agencies and legislatures.

Certified Fraud Examiner accreditation or similar.

Demonstrate a high level of integrity, independence, resilience, professionalism, pragmatism, and discretion.

Excellent communication skills.

Knowledgeable and sound judgement of business practices, regulatory relationship management and reputational risk in a financial institution.

Takes a proportionate approach to risk management, in line with applicable risk appetite and standards.

Ability to diagnose situations or conditions involving potential legal implications and risks, including conflicts of interest.

Data analytics capabilities, with the experience to either independently produce, or guide others, on the development and application of advanced data analytics capabilities.

Qualifications

Certifications - Certified Fraud Examiner Or Equivalent

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.