Job Summary

Strategy 
•    Collaborate with and support CCRO and Head of Operational Risk, Governance & Assurance contributing to the overall strategy of the regulatory compliance through the development of the 2LOD Risk 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. 
•    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 Risk 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, Head of Operational Risk, Governance & Assurance and/or 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.

Key Responsibilities

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 Risk 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 Risk assurance activities by notifying CCRO and Head of Operational Risk, Governance & Assurance.
•    Provide accurate, timely and insightful reporting as identified through Risk 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 & CFCC teams.
•    Business Heads/Functional Heads for relevant reviews
•    Governance and Oversight Team
•    Management Team

Skills and Experience

Manage Conduct
Manage Risk
Manage People
Risk Policies and Standards
Risk Advisory
Risk Assurance Review
Investigations 
Audit 
Regulatory Liaison 

Qualifications

•    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 

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.