AML Audit Manager

Job Description:

Job Summary

We are seeking a highly motivated AML Audit Manager to join our Internal Audit team at Standard Chartered Bank in Tampa. Group Internal Audit (GIA) represents the third line of defence and provides 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).

GIA works with the Group's other control functions, such as Finance, Risk and Compliance, but does not place unqualified reliance on their work. GIA is an independent function whose primary role is to help the Board and Executive Management to protect the assets, reputation and sustainability of the Group.

As defined in the Audit Charter, all staff in GIA must exhibit the highest level of professional objectivity in gathering, evaluating and communicating information about the activity or process being examined. They must make a balanced assessment of all the relevant circumstances and not be unduly influenced by their own interests or by others in forming judgments. GIA will adhere to the Definition of Internal Auditing, the Core Principles for the Professional Practice of Internal Auditing, Code of Ethics and the Standards for the Professional Practice of Internal Auditing that are published by the IIA.

It is expected that all members of GIA strive to operate as role models for the Group’s valued behaviours. GIA methodology has defined “Habits of a Human Auditor” which are aligned to the Group’s valued behaviours and communicated across the function.

We value candidates who are self-motivated and demonstrate excellence in taking responsibility for overseeing the planning and execution of the audit, maintaining the audit budget, including drafting of audit issues and the audit report. Moreover, an eagerness to learn and develop new skills is considered essential, as it will further enhance the candidate’s effectiveness and contribution in this role.

• To act as a Team Member on assigned audit work involving the US Financial Crime Compliance Program;
• To ensure that assigned audit work is executed in an efficient and effective manner, within the given budget and timelines, and in line with GIA methodology standards;
• To clearly identify and articulate 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 support department wide exercises such as annual planning, risk assessment and training;
• To support GIA audit teams by providing product/country knowledge and expertise for their audits relating to the individual’s area of responsibility;
  
  To provide ongoing continuous monitoring support to Heads of Audit (HOAs) and Senior Audit Managers (SAMs) in respect of the business and raise issues and observations outside of formal audit work to expedite rectification of control weaknesses.
• To attend formal committees and Group meetings on behalf of HOAs and SAMs, as required, e.g. Governance Committees and Country Non-Financial Risk Committees.
• The individual will support the HOA in their role as the GIA portfolio/country subject matter expert, depending on the skills of the individual.
• Issue validation: all audit issue action plans agreed during audit fieldwork should be tracked through to completion in accordance with methodology requirements.
• Assist the HOA to effectively manage the cost of assigned audits within the allocated budget for audit engagements; and
• Identify and implement opportunities for cost savings and optimal productivity of assigned audit engagements.
• Establish and maintain effective working relationships with the management of business units which fall under risk assessment responsibility.

• Establish and maintain effective working relationships with the management of business units which fall under risk assessment responsibility.
• To act as a Team Member on assigned audit work involving the US Financial Crime Compliance Program. This will entail the detailed production of various deliverables throughout the established phases of…