Vice President, Lead Auditor

4 months ago

New York, United States Crédit Agricole CIB Full time

Summary of the position


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.


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
  • 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 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 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 & 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


At 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 Reporting

Direct reporting line to Regulatory Compliance, BSA/AML/Sanctions Audit Director

During an assignment, the Lead Auditor may also report to a global supervisor in charge of the assignment.


Key Internal contacts

Auditees (2nd line CACIB Compliance and CUSO Compliance), other control functions


Key External contacts

The Audit Lead may be asked to coordinate co-source resources on engagements or provide support for regulator interactions


Role specific requirements

This 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.


Qualifications/Education Required

  • Bachelor or Masters’ degree in accounting, business, finance, engineering, economics or related field (or relevant experience)
  • Certification (e.g. CFA, CPA, CIA)


Experience Required

  • 6 to 10 years of experience in audit or relevant control environment
  • Regulatory compliance experience and background
  • Experience with remediations preferred
  • Strong knowledge of bank and broker dealer operations


Approved Person Registration

  • Series 99 preferred


Competencies Required

  • 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
  • Relationship management
  • Capacity to cooperate
  • Ability to work across disciplines and cultures
  • Basic French preferred


Skills & Knowledge Requirements

  • 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


Any specific skills knowledge in using core IT systems of the Bank (understanding of the data production, analysis of the results) - desirable

  • Audit Vice President

    4 weeks ago

    New York, New York, United States Tandym Group Full time

    {"title": "Audit Vice President", "content": "Audit Vice PresidentTandym Group is seeking an experienced and analytical professional to join their staff as their new Audit Vice President. In this role, the Audit Vice President will support the IAD Management team in planning, development, implementation, and maintenance of an internal audit program that...

  • Audit Vice President

    2 weeks ago

    New York, New York, United States Tandym Group Full time

    Audit Vice President OpportunityTandym Group is seeking an experienced and analytical professional to join their staff as their new Audit Vice President. In this role, the Audit Vice President will support the IAD Management team in planning, development, implementation, and maintenance of an internal audit program that addresses management of financial...

  • Vice President of Internal Audit

    4 weeks ago

    New York, New York, United States MBK Search Full time

    Job Title: Vice President of Internal AuditMBK Search is seeking a highly experienced Vice President of Internal Audit to lead the provision of audit, advisory, and conduct & ethics services for our US property businesses. The successful candidate will also support the global IA team, working directly with management's portfolio and risk teams.Key...

  • Vice President of Accounting

    7 days ago

    New York, New York, United States Away Full time

    Job Title: Vice President of AccountingAt Away, we're seeking a seasoned accounting professional to lead our Accounting, Treasury, and Tax teams. As Vice President of Accounting, you'll oversee company-wide accounting operations globally, ensuring compliance with GAAP, FRS 102, ASPE, and IFRS.Key Responsibilities:Oversee company-wide accounting operations...

  • Vice President of Audit and Compliance

    3 weeks ago

    New York, New York, United States MBK Search Full time

    Position Overview: The Vice President of Audit and Compliance will operate under the guidance of the Managing Director, spearheading the delivery of audit, advisory, and ethics services for the property divisions in the United States. This role will also extend support to the global Internal Audit team, collaborating closely with management's portfolio and...

  • Vice President of IT

    3 weeks ago

    New York, United States KnowHireMatch Full time

    Vice President of Information Technology - Data Management, Reporting, and Networking (Hybrid, NYC) Position Overview Join our dynamic team as the Vice President of Information Technology, where you'll lead our data management, reporting, and computer networking initiatives. This hybrid role requires at least two days on-site in our NYC office. Key...

  • Tax Manager Vice President

    1 month ago

    New York, New York, United States Emigrant Bank Full time

    Job Title: Vice President, Tax ManagerEmigrant Bank is seeking a highly skilled and experienced Tax Vice President to join our team. As a key member of our Finance and Operations department, you will play a pivotal role in overseeing the day-to-day operations of the tax function, managing key tax initiatives, and ensuring compliance with all applicable tax...

  • Vice President Investment Lead

    1 month ago

    New York, New York, United States Publicis Groupe Full time

    Job Title: Vice President, Investment LeadAt Publicis Groupe, we are seeking a highly skilled and experienced Vice President, Investment Lead to join our team. As a key member of our investment team, you will be responsible for overseeing and executing all client investment activities, including both Investment Marketplace and Investment Management.Key...

  • Investment Lead Vice President

    3 weeks ago

    New York, New York, United States Publicis Health Media Full time

    Job Title: Vice President, Investment LeadAbout the Role:The Vice President, Investment Lead will oversee and execute all client investment activities, including both Investment Marketplace and Investment Management. This role requires a deep understanding of agency operations and client goals, as well as expertise in translating client goals into investment...

  • Senior Vice President, Account Policy Lead Analyst

    2 weeks ago

    New York, New York, United States Hispanic Technology Executive Council Full time

    Job SummaryThe Senior Vice President, Account Policy Lead Analyst is a strategic professional who plays a key role in shaping the company's accounting policies and procedures. This individual will be responsible for analyzing complex accounting issues, developing and implementing policies, and providing guidance to business leaders on accounting matters.Key...

  • Senior Vice President/Vice President, Fundraise Management

    4 weeks ago

    New York, United States Brookfield Asset Management Full time

    The Senior Vice President/ Vice President will work closely with CGC leadership. The main focus of the role being the support of the fundraising lifecycle for Infrastructure and Transition closed ended funds, ensuring all stakeholders in the organiza Vice President, President, Management, Infrastructure, Senior, Investor

  • Vice President of Accounting

    1 week ago

    New York, New York, United States Away Full time

    About AwayWe're a travel company that believes in the transformative power of travel. Our mission is to make travel more seamless and enjoyable for everyone. We're a team of travelers who are passionate about exploring new destinations and cultures.Job DescriptionWe're seeking a highly experienced Vice President of Accounting to lead our accounting,...

  • Vice President of IT

    4 weeks ago

    New York, United States KnowHireMatch Full time

    Vice President of Information Technology - Data Management, Reporting, and Networking (Hybrid, NYC) Position Overview Join our dynamic team as the Vice President of Information Technology, where you'll lead our data management, reporting, and computer networking initiatives. This hybrid role requires at least two days on-site in our NYC office. Key...

  • Vice President of IT

    4 weeks ago

    New York, United States KnowHireMatch Full time

    Vice President of Information Technology - Data Management, Reporting, and Networking (Hybrid, NYC) Position Overview Join our dynamic team as the Vice President of Information Technology, where you'll lead our data management, reporting, and computer networking initiatives. This hybrid role requires at least two days on-site in our NYC office. Key...

  • Vice President of Fund Accounting

    4 weeks ago

    New York, New York, United States Blackstone Group Full time

    Job Title: Vice President of Fund AccountingBlackstone Group is seeking a highly skilled Vice President of Fund Accounting to join our team. As a key member of our accounting team, you will be responsible for the day-to-day fund accounting, administration, and reporting of registered closed-end funds, interval funds, and separately managed accounts trading...

  • Senior Vice President, User Experience Lead

    5 days ago

    New York, New York, United States BNY Mellon Full time

    Senior Vice President, User Experience LeadBecome a key member of our Innovations team at BNY Mellon, a leading global financial services company. As a Senior Vice President, User Experience Lead, you will be responsible for leading the development of user experience strategies and designs that meet the needs of our clients and customers.Key...

  • Tax Vice President

    1 week ago

    New York, New York, United States CFA Institute Full time

    Job Title: Vice President, Tax ManagerThis role plays a pivotal part in overseeing the day-to-day operations of the tax function, managing key tax initiatives, and ensuring compliance with all applicable tax laws and regulations.Key Responsibilities:Prepare and review Federal and State corporate tax returns, extensions, and estimates.Coordinate tax audits by...

  • Senior Vice President, Digital Strategy Lead

    7 days ago

    New York, New York, United States Edelman Full time

    Job Title: Senior Vice President, Digital Strategy LeadEdelman is a leading global communications agency that helps brands build trust and credibility through innovative digital strategies. We're seeking a Senior Vice President, Digital Strategy Lead to join our team and help drive our clients' success in the ever-evolving digital landscape.The ideal...

  • Transportation Engineering Lead/Vice President

    4 weeks ago

    New York, New York, United States The LiRo Group Full time

    Transportation Engineering Lead/Vice PresidentWe are seeking an experienced Transportation Engineering Lead/Vice President to join our team at The LiRo Group. As a key member of our transportation engineering practice, you will be responsible for leading the growth and coordination of our transportation engineering services in the greater NY metropolitan...

  • Liquidity Risk Management Vice President

    2 weeks ago

    New York, New York, United States Barclays Full time

    Job Title: Liquidity Risk Vice PresidentAt Barclays, we are seeking a highly skilled Liquidity Risk Vice President to join our team. As a key member of our organization, you will be responsible for managing the financial operations of the company, ensuring the accuracy, integrity, and reliability of financial reporting.Key Responsibilities:Manage the...