Associate Principal, Second Line Assurance

1 week ago

Johannesburg, South Africa Standard Chartered Full time

**Job Summary**
- The Second Line Assurance (2LA) function within Compliance provides independent, effective, insightful and risk-based assurance across relevant non-financial risk-types. Our vision is ONE approach, ONE plan, ONE mindset: a digital, commercial, and risk-based function that focuses on key risks that impact our clients, business and regulators; Insights that improve client experience and risk management; a talent bank recruiting, growing and delivering even stronger talent.
- The Associate Principal, Second Line Assurance is responsible for executing risk-based Assurance Reviews in accordance with the approved reviews plan and 2LA Methodology. This role will be responsible for conducting reviews over the Financial Crimes Risk portfolio.

**Key Responsibilities**

**Strategy**:

- Collaborate with and support their Head of Assurance, directly contributing to the overall strategy of the function through the development of the 2LA Annual Plan (“the Plan”).
- Responsible for quality execution and timely delivery of the Plan.
- Proactively identify and communicate emerging risks as input to any periodic risk-based review of the Plan.

**Business**:

- When leading a Review, communicate outcomes from Assurance Review 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 Standard Chartered Bank 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.

**Processes**:

- Analyse the relevant principal risk types and risk assessment for the assigned Review; and maintain constant engagement with the first, second and third-line stakeholders.
- When leading a review, manage all scoping and end-to-end execution of the Review (or any other tasks) either under the supervision of a Team Manager or independently as Team Lead.
- Ensure that all workpapers and other documentation required for the assigned Reviews are completed timely, adhered to the quality standards required by the 2LA Methodology and captured in the Assurance system.
- Track issues throughout the issue lifecycle and provide periodic status update in the Assurance system 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 their Head of Assurance is informed, and action is taken quickly to remediate - or related activities are ceased.
- Promote 2LA co-operation and partnership with auditors, regulators, peers and industry.
- Monitor quality standards for Review and take action to drive performance improvement where required.
- Capture and communicate insights arising from Review execution; actively engage in driving improvement of the Methodology.

**People & Talent**:

- Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a ‘Here for good’ culture and the Group Code of Conduct.
- Stimulate and environment where forward planning prioritisation, deadline management and streamline workflows and collaborative, inclusive effective work practices are the norm.

**Risk Management**:

- Make recommendations to relevant stakeholders on possible risk management responses to identified risks and / or issues from assurance reviews; support them in the execution of mitigating actions.
- Adhere to the required standards of risk management for the management of all Assurance processes.
- Ensure that work delivered in their area of responsibility follows prescribed workflows and meets quality standards for the 2LA function with the required attention to detail and within the timelines set.

**Governance**:

- Swiftly escalate significant risks and issues arising from Assurance activities by notifying their Head of Assurance.
- Provide accurate, timely and insightful reporting on 2LA standards and operational performance as identified through oversight and assurance activities.

**Qualifications & Experience**
- Bachelor’s degree or Equivalent required
- Understanding of Financial Crime Risk Required
- Experience interpreting regulatory rules applicable with Financial Crimes lens
- Experience performing walkthroughs, risk assessments of the internal control environment, testing controls and performing substantive testing
- Previous audit or assurance with minimum of 8-10 years (or relevant operational r

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