Associate Director, Second Line Assurance

2 weeks ago

London, United Kingdom Standard Chartered Full time

**Job***: Governance, Risk Management & Compliance

**Primary Location***: Europe & Americas-United Kingdom-London

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 22/Aug/2023, 3:06:18 AM

**Unposting Date***: Ongoing

**JOB SUMMARY**
- Conduct, Financial Crime & Compliance (CFCC)’s vision is: Partnering to drive the right outcomes for clients and communities. The Second Line Assurance (2LA) function within CFCC 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 Director, Second Line Assurance (2LA) is responsible for executing risk-based Assurance Reviews in accordance with the approved reviews plan and 2LA Methodology, focusing on Operational and Technology Risks related reviews.

**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 review of the Plan.

**Business**
- When assigned to lead a Review, communicate outcomes from the 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 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.

**Processes**
- Collect relevant information to develop risk-based assurance reviews to deliver consistency and efficiency across the consolidated plan.
- 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 set up 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 documentation relevant to the assigned Reviews are completed timely, adhere to the quality standards by the 2LA Methodology and captured in the Assurance system.
- As required by the Methodology, 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 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.
- When assigned to lead a Review, ensure the timely release of Review team members to their next task; actively manage assigned resources to ensure that tasks are completed on schedule; and manage unexpected resource requirements.

**People & Talent***
- Promote and embed a culture of openness, trust, and risk awareness where ethical legal, regulatory and policy compliant conduct is the norm.
- Stimulate and environment where forward planning prioritisation, deadline management and streamline workflows and collaborative, inclusive effective work practices are the norm.

**Risk Management**
- Support the development of capability to provide Assurance across all relevant non-financial risk types.
- 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 2

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