Audit Associate, Capital Markets and Operations

2 months ago

New York, United States Crédit Agricole CIB Full time

Summary of the position

The Audit Associate performs, under the supervision of a Lead Auditor, assessments of the audited activity within the businesses and supporting operations for capital markets, structured finance, and corporate and investment banking. 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

The Audit Associate is responsible for carrying out audit work as assigned by the Lead Auditor within the defined timeframes in accordance with IGE methodology and procedures and Internal Audit standards. Audit work includes continuous monitoring, formal audit coverage, and at times may include regulatory issue validation testing:

  • 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
  • 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.


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


At a minimum, the Audit Associate 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 the Lead Auditor or Supervisor responsible for Markets and Operations coverage.

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


Key Internal contacts

Auditees (Trading Desks, Operations, Structured Finance, Corporate and Investment Banking, Compliance Monitoring), other control functions


Key External contacts

The Audit Associate may be asked to coordinate co-source resources on engagements


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.


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.


Qualifications/Education Required:

  • Bachelor or Masters’ degree in accounting, business, finance, engineering or related field (or relevant experience)
  • Industry recognized certification (CPA, CIA) preferred
  • Series 99 certification preferred


Experience Required:

  • 2–5-year experience in audit (internal / external) or comparable control function in banking organization
  • In-depth knowledge of bank operations and products preferred


Competencies Required:

  • Analytical skills
  • Organization
  • Verbal and written communication skills
  • Ability to work autonomously under deliverable timelines
  • Team spirit
  • Proficiency in Word, Excel and PowerPoint
  • Fluent in English
  • Relationship management
  • Ability to work in multi-disciplinary and multicultural teams
  • Basic French desirable


Skills & Knowledge Requirements:

  • Auditing techniques or knowledge of Bank activities pertaining to trading, operations, corporate lending
  • Understanding of the risks generated by banking / securities activities
  • Understanding of Capital Market and Financing strategy, products, processes, controls and risks preferred

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