RESPONSIBILITIES

Job Purpose

• Build an effective control environment Continue to drive an ongoing culture of
• Effective management of Risk analytics and insights and bringing in a new dimension of identifying risk related identifiers for Business
• Report incidents within prescribed timelines and via appropriate channels e.g. M7/SRM/Email,etc
• Provide support to the teams to ensure they establish and monitor processes for adherence to policies and procedures
• Timely submission of any reports decks for relevant meeting and stakeholders e.g. Service Review Meetings, engagement meetings with country, BORF deck, etc.
• Extend support during regulatory reviews / statutory audits and ensure timely submission of responses / actions
• Oversight of work from home related controls, by execution of periodic review to test the execution and effectiveness of controls.

Key Responsibilities

Primary Responsibilities

• Perform CSTs effectively with NIL overdues
• Highlighting exceptions to the line manager for appropriate action. Basis the exceptions noticed, highlight risks for tabling in appropriate forums.Track the action plan status shared by business unit until execution.
• All material risk for all units at CCC, are identified, highlighted and addressed appropriately till closure.
• Timely reporting of all incidents
• Timely submission of actions all risk issues and events.

Risk Reviews

• Conduct internal reviews and peer reviews as per the agreed Review Calendar for the year
• Process Assurance Checks: Highlight exceptions surfacing out of the checks to the relevant units and follow through till closure of the issues. Perform periodic dip test to ensure non-recurrence
• Assurance Review: Highlight issues with regards to People Management/ Process Adherence/ System Access Controls and Regulatory requirements to the respective business teams for adherence, thereby avoiding adverse Audit findings/rating.
• External audit/ reviews: Co-ordinating with the audit / review teams from CCC perspective in terms of data sharing, handling the audit / review as applicable.

Risk Committee Meetings

• Facilitation of pack production for the unit risk committee meetings.
• Provide challenge to ensure robust compliance to BRM policies and framework
• Submission of risk and control related details to functional risk forum within schedule and at the required quality
• Faciltate, Coordinate and consolidate operational risk and loss reporting of the unit for the reporting to the BORF Business Unit Head as appropriate. Ensure data accuracy and completeness.

Root Cause Analysis (RCA)

• Assist BRM s to complete the Root Cause Analysis (RCA) report for below events
• Audits rated Failed or Improvement required for Critical Processes
• Operational risk event / Loss event
• Group / Local regulatory policy breach

Management Information

• Ensure integrity of source and the processing of data to deliver accurate representation in management information.

OR - Business Partnership

• Identifying areas / processes / practices / methodologies / migrations with potential areas for improvement within Business, and articulate suggestions.
• Disseminate internal policies, regulatory requirements and other BRM related communication to the unit in a timely fashion
• Participate provide ongoing support to all CCC and GBS wide Risk initiatives.

Governance

Validation of Controls: Control Sample Testing (CST) / Key Control Indicators (KCI)

• Continuous monitoring of key controls. Validate sampling techniques, results and exceptions arising thereof
• Obtain, agree and track to closure of treatment plan from responsible parties
• Provide Country Heads and Risk Heads periodical view of status and progress
• Contribute towards / Facilitate implementation of control measures and monitoring plans for compliance and operational risk management. Ensure effectiveness of controls for compliance monitoring and risk management.
• Perform trend analysis in KRIs on perceived risks and prevailing issues and highlight the same.

Issue Management (records in M7)

• Investigate, document and report risk events and treatment plans on M7 and keep relevant stakeholders updated

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.

ROLE SPECIFIC TECHNICAL COMPETENCIES

• Data Analytical Advanced
• Presentation Advanced
• Problem Solving Skills Advanced
• Ability to quantify risks Advanced
• Ability to choose mitigation strategy Advanced

QUALIFICATIONS : Training, licenses, memberships and certifications

• Clear understanding of the Bank s Enterprise Risk Framework or equivalent experience gained in other organisations
• Demonstrated history of applying sound judgement with critical thinking skills and courage necessary to perform a control role and maintain effective working relationships
• Strong analytical skills, detail-focused with the ability to interpret large volume of information
• Problem solving skills with ability to influence across all levels of business
• Ability to independently drive initiatives with minimum hands-on supervision.
• Excellent written and verbal communication skills.
• Knowledge of MS office is required that include PowerPoint and Excel.
• Strong presentation skills.
• VALUED BEHAVIOURS

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