CDI

Audit Associate – BSA/AML coverage

Modifiée le 17/10/2024

  • Montreal - Canada
  • Inspection / Audit
  • 2024-93057

Description du poste

Summary of the position

 

The Senior Auditor performs, under the supervision of a Lead Auditor, preliminary assessments of the audited activity and its internal control framework. He/she performs independent testing and analysis on specific controls in order to meet the audit’s objectives. He/she also contributes to drafting the debriefing presentation and the final report sent to Management.

 

Depending on the assignment, Senior Auditors may directly supervise one or more junior auditors and may act as deputy to the Lead Auditor.

 

The Audit Associate, under the supervision of a Lead Auditor, performs assessments of the 1st (adherence) and 2nd line (advisory and testing) BSA/AML internal control framework. He/she performs independent testing and analysis on specific controls in order to meet the audit’s objectives. He/she also contributes to drafting the debriefing presentation and the final report sent to Management.

 

Key Responsibilities:

 

The Audit Associate is expected to work independently under minimum supervision, provide appropriate effective challenge of the control environment, and manage his/her time to meet all deliverable dates to keep the audit plan on schedule.


I – Conduct of assignment

- Independently carry out audit planning and fieldwork of audit coverage, including:

  • A preliminary assessment of the audited activity highlighting the related risks and controls
  • Interviews, testing and analysis of the results of the controls planned in the audit program
  • Documented awareness of the regulatory requirements, impacts, and/or expectations pertaining to coverage area(s).

- Provide comprehensive documentation in test sheets the controls performed, and conclusions reached
- Identify and report on strengths and weaknesses of the audited areas, analyse the root causes and risk impact of the identified weaknesses, develop remediation and recommendations to address the audit findings and conclude on the effectiveness of the control set-up and business practices
- Maintain open communication with auditees during coverage to prevent confusion or surprises, including documenting issues and identifying owners during the audit
- Present audit conclusions to IGE management and to the management of the audited unit (debriefing presentation, final audit report, etc.)
- Keep the Lead Auditor in charge of the assignment/ Local Head of Audit informed of the progress on the audit work assigned, and escalate any issues that may impact or delay the audit’s execution, or raise any other relevant information on the assigned audit and the risk and control environment
- Conduct recommendations follow-ups through the monitoring of remediation status and corrective actions taken by Management prior to closing any recommendations
- Properly archive of any supporting documentation, audit evidence and deliverables in the designated IGE tools.

 

#LI-DNI

Complément

II – Team management

On some engagements the Audit Associate may be asked to assist more junior team members or external resources by providing:

- Guidance on audit techniques and expected deliverables
- Feedback on documentation and conclusions of test results and findings
- Assistance in developing collaborative and productive relationships within the team with close coordination throughout the International Network and with auditees

III – IGE Continuous improvement Program / Transversal topics

The Audit Associate contributes to the continuous improvement of IGE methodologies and processes. In addition to the audit responsibilities, she/he can be requested to:

- Provide input to update audit guides, scorecards or training materials related to specific activities based on existing knowledge, documentation, interviews, etc.
- Participate in one or several knowledge communities within IGE

The Audit Associate should be current on banking and BSA/AML matters and must always seek training to maintain sufficient knowledge of the audited area. She/he must complete all the mandatory trainings within the defined timelines.

Management and Reporting

Direct reporting line to the Compliance Supervisor or Lead Auditor

During an assignment, the Audit Associate may also report to a global Audit Lead in charge of the assignment

    • Poste avec management
    • Non
    • Niveau d'étude minimum
    • Bac + 3 / L3
    • Formation / Spécialisation
      • Bachelor or Masters’ degree in accounting, business, finance, engineering or related field

      • Industry recognized BSA/AML certification - ACAMS

      2-5 year experience in audit (internal / external) or banking organizationBasic control function or audit experience in one or more of
      the following fields:
      • BSA/AML Compliance
      • InternationalSanctions
      • Trade Finance /Correspondent Banking or any other area exposed to Financial Security risks
    • Niveau d'expérience minimum
    • 3 - 5 ans
    • Compétences recherchées
      • Analytical skills
      • Organization
      • Verbal and written communication skills
      • Ability to work autonomously under deliverable timelines
      • Team spirit
      • Proficiency in Word, Excel and PowerPoint
      • Verbal and written communication skills in English required (You will need to service Anglophone clients and work with Anglophone colleagues)
      • Verbal and written communication skills in French considered a strong asset
    • Langues
    • English, French
  • A propos de Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB est la banque de financement et d'investissement du groupe Crédit Agricole, 10ème groupe bancaire mondial en taille de bilan 2021 (The Banker, juillet 2022). Près de 8600 collaborateurs répartis dans plus de 30 implantations en Europe, Amériques, Asie-Pacifique, Moyen-Orient et Afrique du Nord, accompagnent les clients de la Banque dans la couverture de leurs besoins financiers à travers le monde. Crédit Agricole CIB propose à ses clients grandes entreprises et institutionnels une gamme de produits et services dans les métiers de la banque de marchés, de la banque d'investissement, des financements structurés, de la banque commerciale et du commerce international. Pionnier dans le domaine de la finance Climat, la Banque occupe aujourd'hui une position de leader sur ce segment avec une offre complète pour l'ensemble de ses clients. La majorité des postes est éligible au télétravail dans les conditions prévues par notre accord reposant sur le double volontariat (collaborateur & manager) et après une période d'intégration réussie. Crédit Agricole CIB s'engage en faveur de l'insertion des personnes en situation de handicap, ainsi ce poste est ouvert à toutes et à tous. Pour plus d'information : www.ca-cib.fr Twitter: https://twitter.com/ca_cib LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/

Crédit Agricole CIB
Crédit Agricole CIB
Crédit Agricole CIB

Crédit Agricole CIB

Audit Associate – BSA/AML coverage

Publiée le 09/10/2024

CDI
  • Montreal - Canada
  • Inspection / Audit
  • 2024-93057
Rejoignez
-nous

Nos avantages

Une grande variété de métiers

Que vous soyez étudiant, jeune diplômé ou expérimenté, nous vous offrons un environnement de travail stimulant dans lequel vous pourrez développer de nombreuses expertises.

Un environnement international

Nous sommes implantés dans plus de 30 pays à travers le monde et rassemblons plus de 100 nationalités. La dimension internationale de nos activités et la diversité des profils de nos collaborateurs font notre richesse.

Des positions de leadership

L’excellence de nos spécialistes est reconnue dans de nombreux domaines en France comme à l’international. Nous rejoindre, c’est intégrer un réseau mondial d’expertises parmi les plus pointues du marché.

- 1er financeur de l’aéronautique

- 1er émetteur de Green Bonds

Une stratégie de gestion de carrière

Nous faisons de la gestion de carrière de nos collaborateurs une priorité. Formation, mobilité, gestion des talents, nos politiques sont au service de votre potentiel.

Des équipes engagées et responsables

L’engagement de nos collaborateurs est résolument tourné vers nos clients pour le développement d’une économie durable. La lutte contre le réchauffement climatique constitue l’un des axes majeurs de notre politique RSE.

Ces offres pourraient vous intéresser !