Senior Audit Manager - Compliance, Conduct and Reg Reform

  • Negotiable
  • Singapore Singapore Singapore SG
  • Permanent, Full time
  • Standard Chartered Bank Singapore
  • 11 Jul 18 2018-07-11

Support the Head of Audit (HOA), where required in the development of the GIA risk assessment and development of an appropriate plan for Regulatory Reform, Compliance and Conduct Audits.


· Support the Head of Audit (HOA), where required in the development of the GIA risk assessment and development of an appropriate plan for Regulatory Reform, Compliance and Conduct Audits.

· Support the HOA, to ensure the scoping of the work assigned addresses the key risks identified in the risk assessments of areas above during the audit planning process, and meets the relevant regulatory requirements and expectations that are required to be covered by GIA.


· Strong awareness and understanding of the risks in pre implementation and business as usual (BAU) controls and processes associated with global Regulatory Reform and change that are extra-territorial and market conduct in nature. Such as MiFID II, Market Abuse Regulation, General Data Protection Requirements, Payments Services Directive II etc.

· Strong awareness and understanding of the key controls and risks involved in an audit of Compliance and Conduct including areas such as Tax, Privacy, Conflicts of Interest, Recordkeeping, Suitability etc.

Audit Delivery

· Participate as team leader or manager for assigned audits and to lead the more complex audits that are cross-functional and multi-location.

· Provide technical knowledge and guidance on Regulatory Reform, Compliance and Conduct audits to team leaders, team members and other interested parties to enable them to effectively deliver their assigned contributions for an audit and to increase knowledge awareness.

Stakeholder Management & Communications

· Establish and maintain effective working relationships with the management of business units to keep abreast of business developments and to maintain regular dialogue with stakeholders on areas of concern, to help them improve their overall control environment.

People and Talent

· Support the HOA to engage effectively with team members by working closely, sharing knowledge and best practices, and supporting other team members to achieve the audit objectives.

Risk Management

· Support the HOA to update Regulatory Reform, Compliance and Conduct 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.


· Ensure compliance with the highest standards of practices as defined by internal and external requirements while performing audits.

· Adopt the Group's values and code of conduct in GIA to ensure adherence with the highest standards of ethics and compliance with relevant policies, procedure and regulations.

Key Stakeholders

· Designated business stakeholders in the Compliance, Regulatory Reform and Conduct space, typically related to individual audit assignments and continuous monitoring.

· GIA stakeholders - fellow Team Leaders, Team Members and Managers, Product, Functional, Country and Regional Heads of Audit.

Key Competencies

· Participate as a team manager and team leader in complex audits of Compliance, Regulatory Reform and Conduct areas.

· Apply expert audit skills and relevant business, technical and risk management knowledge.

· Ability to lead audit teams in multiple countries, to execute the assigned audits in an efficient and effective manner, within the given budget, quality standards and timelines, and in line with GIA methodology and standards.

· Strong communication skills, both written and verbal, with ability to influence business management, other stakeholders and peers.

· Quantitative and qualitative data analysis skills to independently diagnose underlying issues, patterns and root causes, as a part of regular work.

· Expert in executing audit planning, fieldwork, reporting and issue tracking.

· Ability to create MI and other regular Committee-level presentations.

· Proactive, self directed and able to work with minimum supervision.


· Professional audit or compliance certification preferred.

· An experienced career auditor (internal or external) or a business person with a minimum of 10 years relevant experience in audit, compliance, governance, risk or in a related business environment.

· CAMS qualified preferred not essential.

· Understanding of business strategy, plans, products, performance and related issues at the business unit level.

· Ability to manage own development - role specific and regulatory/compliance bank wide.

· Demonstrate understanding of and commitment to the Group's core values.

· Ability to commit to about 10% business travel.