Lead Auditor - Regulatory Compliance (VP)
: Job Details :

Vacancy detailsGeneral informationEntity About Crdit Agricole Corporate and Investment Bank (Crdit Agricole CIB) Crdit Agricole CIB is the corporate and investment banking arm of Crdit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022). 8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world. Crdit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients. For more information, please visit www.ca-cib.com Twitter: LinkedIn: By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities. Reference 2024-87276 Publication date 17/10/2024 Job descriptionBusiness typeTypes of Jobs - General Inspection / AuditJob titleLead Auditor - Regulatory Compliance (VP)Contract typePermanent ContractJob summaryKey Responsibilities I - Conduct of assignmentThe 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 - 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 coverageII - Management of a team during an assignment- 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 matterIII - IGE Continuous Improvement Program / Transversal topics- 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 & Support- Update Auditable Items scorecards in liaison with the relevant Audit Manager- Share any relevant information with the IGE Knowledge communities' leaders and relevant Audit Partners- Manage resources and schedule of the assignment to achieve the objectives of the audit plan- Contribute to the preparation of the audit plan, in coordination with the local IGE leadership#LI-DNSupplementary InformationAt a minimum, the Lead Auditor must also complete within the defined timelines all annual required training on banking and regulatory matters to maintain a sufficient knowledge of the audited area for which she/he is responsible.Management and ReportingDirect reporting line to Regulatory Compliance, BSA/AML/Sanctions Audit DirectorDuring an assignment, the Lead Auditor may also report to a global supervisor in charge of the assignmentKey Internal contactsAuditees (2nd line CACIB Compliance and CUSO Compliance), other control functionsKey External contactsThe Audit Lead may be asked to coordinate co-source resources on engagements or provide support for regulator interactionsRole specific requirementsThis role may require business travels in any relevant locations to conduct the assigned audits, for periods up to several consecutive weeks.Lead Auditors must comply with the CACIB Audit Charter, in particular the five fundamental ethical principles (integrity, objectivity, confidentiality, expertise, and transparency) and all other locally applicable regulations.Before or after an assignment, Lead Auditors shall have no direct operational responsibility or authority over any of the activities under review. They shall not develop systems or procedures, prepare records or engage in any activity, which belongs to the auditable perimeter.Salary Range: $140k - 180k#LI-DNIPosition locationGeographical areaAmerica, United States Of AmericaCityNEW YORK Candidate criteriaMinimal education levelBachelor Degree / BSc Degree or equivalentAcademic qualification / SpecialityRequired:Bachelor or Masters' degree in accounting, business, finance, engineering, economics or related field (or relevant experience)Bachelor or Masters' degree in accounting, business, finance, engineering, economics or related field (or relevant experience)Preferred:Certification (e.g. CFA, CPA, CIA)Level of minimal experience6-10 yearsExperience6 to 10 years of experience in audit or relevant control environmentStrong knowledge of bank and broker dealer operationsRequired skillsRequired: 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 EnglishPreferred: Relationship management Capacity to cooperate Ability to work across disciplines and cultures Basic FrenchTechnical skills requiredRequired: 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 goalsPreferred: Any specific skills knowledge in using core IT systems of the Bank (understanding of the data production, analysis of the resultsLanguagesEnglish/French