Lead Auditor

2 weeks ago

San Ramon, California, United States BNP Paribas Bank NV Full time

Location At BNP Paribas Bank NV, we are committed to making a positive impact on the world. We focus on areas where we can drive significant change, such as enhancing diversity, supporting women entrepreneurship initiatives, providing financing for small businesses, and promoting sustainable energy programs. Our presence across the U.S. reflects our dedication to protecting the planet, improving lives, and strengthening communities. As part of a global leader in finance, we actively support the UN Sustainable Development Goals (SDGs). While we are a bank, we are also a catalyst for change, continuously seeking to enhance our services while contributing to sustainable and equitable growth.

Job Overview

The Inspection Group serves as the Bank's periodic control function, acting as the third line of defense. This group independently evaluates the effectiveness of the permanent control functions, which are the first and second lines of defense, to identify, measure, monitor, and manage risks. The Senior Auditor is primarily tasked with executing audits in designated areas, with a focus on Retail and Commercial banking operations. This role encompasses understanding, assessing, and documenting comprehensive business unit processes; evaluating the design of related controls; proposing relevant and effective audit test steps; testing the operational effectiveness of key controls; and drafting written findings and recommendations as necessary.

Key Responsibilities

1. Execute assigned audit procedures with precision, timeliness, and minimal supervision, particularly in Retail and Commercial banking operations and transaction processing.

2. Assist the Head of Assignment in audit scoping, planning, evaluation, and reporting for audits related to Retail and Commercial banking operations.

3. Contribute to ongoing monitoring activities for assigned auditable entities and escalate issues that may affect the timing of future audit assignments.

4. Prepare and update risk assessments for assigned entities for supervisory review.

5. Validate the adequacy and appropriateness of business corrective actions addressing audit recommendations for supervisory review.

6. Exhibit effective written and verbal communication skills with all levels of management.

7. Maintain a strong understanding of audit, risk, compliance, banking, and product knowledge.

8. Conduct audit work in accordance with BNP Paribas Inspection Generale and the policies and procedures of BNP Paribas Bank NV.

Additional Responsibilities

May be required to guide junior staff members during audit assignments.

Perform other duties as assigned.

Required Qualifications

1. Extensive knowledge of Retail and Commercial banking middle and back office operations, typically acquired through advanced education and experience.

2. Recognized as a specialist within the discipline.

3. May possess broad knowledge of project management.

4. Requires 7-10 years of relevant experience.

Education

Bachelor's Degree in a related field.

CPA qualification is preferred.

Skills

The primary focus of this role is the day-to-day execution of assigned audit responsibilities, demonstrating the ability to take on additional tasks as needed.

Stay current on industry developments affecting assigned responsibilities.

Demonstrable strengths in one or more of the following areas: Bank Audit Activities, Banking laws and regulations, regional and branch banking operations, asset and liability management, treasury (including derivatives), lending (including evaluation of loan loss reserves, syndication desk, and other real estate owned), expenditures, deposits, and related systems.

Proven experience in auditing commercial and residential real estate loan underwriting, processing, and reporting activities.

Proven experience in auditing middle and back office transaction processing and execution activities.

Familiarity with Enterprise Risk Management practices for Retail and Commercial Banking Operations.

Equal Employment Opportunity Policy

BNP Paribas Bank NV is an Equal Opportunity employer and is proud to provide equal employment opportunities to all job seekers without regard to any status protected by applicable law. We are also an Affirmative Action employer - Minority / Female / Disabled / Veteran.

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