• Negotiable
  • Singapour, Singapore
  • CDI, Plein-temps
  • Standard Chartered Bank Singapore
  • 2018-06-19

Associate Director, FCC, Assurance Systems

  • Lieu de travail : Singapour, Singapore
  • Salaire : Negotiable
  • Type de contrat : Plein-temps

We are currently looking for an IT Auditor with strong background in Financial Crime Compliance to join our Systems Assurance team. Assurance fieldwork may require international travel for extended periods of time.

Assurance fieldwork may require international travel for extended periods of time.

Strategy
  • As a member of the Assurance Systems team, responsible for the planning, execution, evaluation, reporting and advancement of Assurance Systems reviews that they are involved in (the "Review") and periodic testing of key compliance controls, processes, procedures and system controls to demonstrate that systems and data processes are in compliance with Group and local requirements addressing the relevant regulations, including those related to money laundering, terrorist financing, sanctions and anti-corruption and bribery.

Business
  • Support relevant stakeholders to make decisions based on current and possible future practices or trends from the issues, observations and remediation plans identified from reviews undertaken.
  • Where applicable and as a result of reviews undertaken, to provide input to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to Compliance and FCC.
  • Contribute to the development of a coordinated annual risk-based Compliance and FCC Assurance plan, collaborating as required, to provide coverage over first and second line of defence activities.

Processes
  • Provide assurance over the governance and implementation oversight of Compliance and FCC related systems, in line with the Group policies and procedures.
  • Support and undertake specalist second line of defence systems reviews on a timely and efficient basis to test the validity and appropriateness of, and business compliance with, regulatory and financial crime policies.
  • Execute the fieldwork of the required reviews, including sampling approach, in accordance with the methodology, ensuring that all test results and sampling rationale are fully documented in order to support review conclusions.
  • Drive forward excellence in execution of the Assurance Review plan and supporting activities, identifiying opportunities to enhance the programme where possible.

Risk Management
  • Ensure the suitability and quality of case data maintained on enterprise case management systems.
  • Understand technical aspects of systems relevant to Compliance and FCC systems.
  • Developing capability to provide assurance over Compliance and FCC systems, and data.
  • Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identified risks and/or findings of concerns from investigations.
  • Tracking of findings and actions from reviews through verification and closure, ensuring that where appropriate these are escalated in an appropriate and timely fashion including informing senior management of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased

Governance
  • Manage and lead review activities in response to Regulatory findings, emerging issues and other unplanned for initiatives;
  • Ensure tracking and remediation of significant issues arising from Compliance and FCC metrics, Assurance activities, Audit reviews and regulatory inspections, providing validation of issue closure where necessary
  • Prepare and cascade lessons learned from audit findings, assurance activities and specific investigations.
  • Propose control improvements, enhancements and simplifications where appropriate.
  • Contribute to the development of appropriate Assurance methodologies and standards.
  • Support all control checks undertaken by Compliance and FCC under the Operational Risk Framework (ORF).
  • Coordinate with first line of defence (e.g. business) and third line of defence (e.g. Audit) to provide comprehensive risk-based Assurance coverage across the Group.
  • Undertake required quality assurance as part of the peer review process to the relevant QA standards.
  • Periodic reporting and timely escalation of significant risks and issues arising from Compliance and FCC Assurance activities.
  • Co-ordinate/support the management of audits/exams.

Regulatory & Business Conduct
  • Display exemplary conduct and live by the Group's Values and Code of Conduct.

Qualifications & Experience
  • Background in Technology Assurance or Audit with a focus on Applications Controls within international financial service organizations (5 years minimum);
  • Knowledge of database systems, and experience in data extraction for data analytics;
  • Knowledge and experience in Compliance and Financial Crime Compliance;
  • Relevant professional IT Audit/ Audit certification (CIA, CISA, CISM, CISSP or equivalent)
  • Certified Anti Money Laundering Specialist ("CAMS") or International Compliance Association Diploma ("ICA Dip AML") Certification (Preferred).
  • Certified Financial Crime Specialist ("CFCS") Certification (Optional).


Singapour, Singapore Singapour Singapore SG