Type de contrat :
CDI

Lead Auditor, Regulatory Compliance

Modifiée le 24/03/2025

  • Lieu : NEW YORK - Etats-Unis d'Amérique
  • Secteur : Inspection / Audit
  • Numéro de l'offre : 2025-97007

Description du poste

The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of recommendations. He/she is responsible for the timeliness and comprehensiveness of the audit deliverables under the supervision of the Local Head of Audit or an Audit Supervisor. He/She is accountable for maintaining open communication with stakeholders, and drafting the management debriefing presentation and final report. He/she usually leads a team of several auditors. In most audits he/she also executes control sections of the audit.

 

He/she generally, but not exclusively, leads audit assignments that have a focus corporate compliance and regulatory requirements. He/she provides support to other IGE Managers for assignments where regulatory compliance expertise is needed. He/she monitors and validates the implementation of recommended corrective actions identified in audit or regulatory coverage.

Complément

Key Responsibilities


II – Conduct of assignment

The Lead Auditor conducts audit assignments from planning to issuance of the final report. This includes the following responsibilities:

-      Assess the risks of the audited activities and to validate the related control environment for its design and operating effectiveness
-      Review and challenge the processes and controls in view of their respective purpose and mandates as well as the related risks, relying on fact based and documented audit works
-      Verify the audited unit’s compliance with internal policies and procedures and the applicable laws and regulations
-      Monitor the fieldwork carried out by the team and to adjust the fields of audit to the risks identified,
-      Maintain close communication with the IGE and stakeholder management on audit progress following the pre-set timeframe
-      Notify immediately the Audit Manager / Regional Supervisor / Head of Local Audit of any major control weaknesses (reputational, regulatory, compliance, etc.) identified during the audit review and comply with any escalation policy in the bank
-      Manage and organize interviews, debriefing meetings of conclusions with Management impacted by the audit
-      Follow up, review and finalize with Management on response to the draft audit report and prepare for the final audit report publication

#LI-DNI

  • Poste avec management
    Non
    Niveau d'étude minimum
    Bac + 3 / L3
    Formation / Spécialisation
    Essential:
    • Bachelor or Masters’ degree in accounting, business, finance, engineering, economics or related field (or relevant experience)
    Desirable:
    • Certification (e.g. CFA, CPA, CIA)

    Key Responsibilities Conti.
    • Document, communicate, and memorialize audit deliverables are in adherence to the IGE/IGL Methodologies as per the Audit Charter
    • Monitor and maintain assigned Auditable Objects (AO) pertaining to the assigned areas of coverage
    III – Management
    • Define objectives and perform end of assignment assessment for the team allocated during an assignment
    • Prepare assignment planning and allocate work streams by team member and manage projects/tasks/staff and budget resources efficiently
      -      Ensure collaborative and productive relationship within the team and a good coordination throughout the International Network and with auditees
      -      Contribute to the continuous improvement of the team, providing guidance and feedback to team members on the coverage subject matter

      III – IGE Continuous Improvement Program / Transversal topics

      The Lead Auditor contributes to the continuous improvement of IGE methodologies and processes. As part of his/her responsibilities, he/she can be requested to:

      -       Contribute to the on-going development of IGE’s knowledge and expertise regulatory guidelines, requirements, or expectations; attend industry or CA group events to keep abreast of relevant developments in second line compliance advisory and testing.
      -       Contribute to the creation or update of methodologies and audit processes/guides through iterative dialogue with Methods
    Compétences recherchées
    Essential:
    • Organization, efficiency, results-driven, analytical skills
    • Project management (e.g. work organization, time planning, feedback, communication)
    • Verbal and written communication
    • Autonomy and Leadership
    • Self-confidence, ability to defend own findings and conclusions, ability to cope with stress
    • Accuracy and reliability
    • Fluent in English
    Desirable:
    • Strong knowledge of bank and broker dealer operations
    • Relationship management
    • Capacity to cooperate
    • Ability to work across disciplines and cultures
    • Basic French
    Outils informatiques
    Essential:
    • 6 to 10 years of experience in audit or relevant control environment
    • Knowledge of the principles, practices and techniques of auditing
    • Demonstrated ability to gather, analyse facts, and prepare and present concise reports 
    • Knowledge of organization and activities of the Bank, 
    • Ability to lead a group or work as part of a group to accomplish shared goals
    Desirable:
    • Strong knowledge of bank and broker dealer operations
    • Series 99
    • Any specific skills knowledge in using core IT systems of the Bank (understanding of the data production, analysis of the results)
     Salary Range: $140,000 - $175,000
    Langues
    English

  • 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

Lead Auditor, Regulatory Compliance

Publiée le 19/02/2025

Type de contrat :
CDI
  • NEW YORK - Etats-Unis d'Amérique
  • Inspection / Audit
  • 2025-97007
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