Job Summary
As an independent function whose primary role is to help the Board and Executive Management to protect the assets, reputation and sustainability of the Group, this role represents the third line of defense and provides independent assurance of the effectiveness of management’s control of business activities (the first line) and of the control processes maintained by the Risk Framework Owners and Policy Owners (the second line).
Key Responsibilities
Business
• Responsibilities defined in the Audit Charter to protect the assets, reputation and sustainability of the group.
• To execute audit work in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards.
• To clearly identify the risks and impact of issues during issue writing, agreeing these issues with management and obtaining quality management action plans to mitigate the risks raised.
• To lead continuous monitoring of assigned country / portfolio areas, and to build and maintain engagement with stakeholders.
• To work with the Group's other control functions, such as Finance, Risk and Compliance, but does not place unqualified reliance on their work.
Regulatory & Business Conduct
• Display exemplary conduct and live by the Group’s Values and Code of Conduct.
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered 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.
Skills and Experience
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Knowledge of PRC Securities Law |
Core |
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Understanding of the key features of relevant laws and regulations in China where relevant business is conducted |
Core |
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Experience in securities brokerage, securities dealing and trading, asset management, securities services and corporate finance |
Core |
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3-5 years of working experience in operation support, settlement and clearing, or Asset Management Scheme Accounting in China domestic market |
Core |
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Familar with trade processing systems (such as Rootnet, xQuant) or Financial Asset Custody systems used in local China market |
Entry |
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Oral and written English and Mandarin Chinese |
Core |
Qualifications
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Education |
Bachelor or above |
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Training |
|
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Licenses |
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Membership |
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Certifications |
The successful candidate needs to hold China Securities Qualification Certificate or get the Qualification Certificate during probation. |
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Languages |
Chinese & English |
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.
