Risk Assurance Manager
Standard Chartered Bank
Ho Chi Minh, Vietnam, Asia
1 ngày trước

About Standard Chartered

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. The Role Responsibilities

Conduct 2nd line assurance review as per the Assurance Plan approved by CCRO and Country Head of CFCC, to assess the compliance with local regulations and the effectiveness of the 2LOD / 1LOD’s existing controls to mitigate the regulatory compliance risk .


  • Collaborate with and support CCRO and Director, Assurance Review contributing to the overall strategy of the regulatory compliance through the development of the 2LOD assurance review annual plan ( the Plan ).
  • Proactively identify and communicate emerging local regulatory compliance risks as input to any periodic review of the Plan.
  • Prioritise for areas of high regulatory compliance risk and any mandatory reviews per regulatory requirements to ensure SCB Vietnam’s compliance with local regulations.
  • Follow the 2LOD assurance review methodology ( the Methodology ) which is developed for the SCBVL 2LOD assurance review based on the Group Methodology for Compliance Monitoring Review.
  • Promote the culture and practice of compliance with regulatory regulations within the Bank and embed a Here for good culture and the Group Code of Conduct.
  • Business

  • When assigned to lead a review, communicate outcomes to relevant stakeholders and support them in developing mitigating actions to correct identified issues.
  • Execute assigned review tasks within the designated business area; identify and record potential issues and ensure that these are formally evaluated according to the Methodology.
  • Actively engage in the Review processes, taking every opportunity to develop their knowledge and understanding of SCB Business and the execution of Assurance while delivering their tasks.
  • Ensure that key changes (to laws, rules, regulations) relevant to the execution of assurance activities are communicated and cascaded to team members in their area of responsibility.
  • Ensure that local regulatory risks and concerns are reported and addressed to be compliant and meet local regulator’s expectations / priorities.
  • Processes

  • To collect the relevant information to develop risk-based assurance review plan per the Methodology;
  • Manage all scoping and conduct the testing either under the supervision of a review lead or directly where leading a review.
  • Lead and direct the end to end execution of reviews (and any other tasks), as required by the Methodology.
  • Ensure that all work papers required for the reviews are completed to required quality standards.
  • When assigned to lead a Review, ensure that completed reviews are correctly closed, and that all documentation is correctly filed, as required by the Methodology.
  • As required by the Methodology track issues throughout the issue lifecycle, capture and track the issue data in the relevant tracking tool and ensure the remediation of issues arising from assigned Reviews (and any other assigned task) is sustainable and validated before closure.
  • In the event of a serious regulatory breach, or where risk tolerances have been breached, ensure the CCRO and Country Head of CFCC is informed, and action is taken quickly to remediate - or related activities are ceased.

  • Work with the team to identify and propose control enhancements and / or simplifications where appropriate;
  • Promote the co-operation and partnership with Auditors, regulators, peers and industry.
  • Provide inputs and updates on regulatory compliance to Vietnam Country Management, ensuring delivery of consistent communications on priorities and thematic findings.
  • Monitor quality standards for Review activities within their area of responsibility; recommend action to drive performance improvement where required.
  • Capture and communicate insights arising from Review execution; actively engage in driving improvement of the Methodology.
  • Follow the spirit of the core principles for travel and expenses.
  • Review fieldwork may require local travel for extended periods of time.
  • People and Talent

  • Promote and embed a culture of openness, trust, and risk awareness where ethical legal, regulatory and policy compliant conduct is the norm.
  • Stimulate an environment where forward planning prioritisation, deadline management and streamline workflows and collaborative, inclusive effective work practices are the norm.
  • Take responsibility for own personal development and complete all mandatory training as required in line with the Banks principles and guidelines.
  • Risk Management

  • Support the development of the overall Risk Assessment and annual assurance review plan to ensure that Compliance Risks in Vietnam are appropriately mitigated.
  • Governance

  • Ensure that work delivered in their area of responsibility follows prescribed workflows and meets quality standards with the required attention to detail and within the timelines set.
  • Swiftly escalate significant risks and issues arising from assurance activities by notifying CCRO and Director, Assurance Review.
  • Provide accurate, timely and insightful reporting as identified through assurance activities.
  • Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group’s Values and Group Code of Conduct.
  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across the 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

  • Internal Audit team
  • Country Risk & Compliance teams.
  • Business Heads / Functional Heads for relevant reviews
  • Governance and Oversight Team
  • Management Team
  • Other Responsibilities

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    Our Ideal Candidate

  • Bachelors degree or Equivalent required
  • Auditing, Risk Management, Compliance background required
  • Good knowledge of Compliance, laws, rules, regulatory requirements, including recent regulatory reform
  • Strong interpersonal skills with ability to work collaboratively and people at all level of the organization
  • Strong project management and organization skills and capability to handle multiple project at one time.
  • Proficiency with Microsoft Office Applications (Excel, Word, PowerPoint )
  • Experience interpreting regulatory rules applicable with Conduct lens
  • Experience performing walkthroughs, risk assessments of the internal controls environment, performing controls and substantive testing
  • Verbal and written communication skills
  • Comprehensive knowledge of banking and investment product across client segments
  • Multi-cultural awareness and sensitivity
  • Strong team player
  • Strong analytical skills, and confidence in interrogating data, processes and interviewing stakeholders.
  • Highly organised individual, with ability to multi-task.
  • Driven to ensure that activities are completed to a high standard and to schedule.
  • Proactive and creative approach to work, self-motivated and pragmatic.
  • Takes responsibility, ownership and accountability for own tasks and work output.
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