Senior Compliance Auditor

2 weeks ago

New York, New York, United States Crédit Agricole CIB Limited Full time
Vacancy Overview

Company Background

Entity
Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) is a prominent player in the corporate and investment banking sector, part of the Crédit Agricole Group, which ranks as the 10th largest banking entity globally based on balance sheet size. With a workforce of approximately 8,600 professionals across over 30 countries, we cater to our clients' diverse financial needs worldwide. Our offerings encompass a wide array of services, including capital market activities, investment banking, structured finance, commercial banking, and international trade. Notably, we are at the forefront of climate finance, providing comprehensive solutions to our clients in this critical area.

Job Title

Senior Auditor - Capital Markets (Associate)

Contract Type

Permanent Contract

Role Summary

Key Responsibilities:

The Audit Associate is expected to operate independently with minimal oversight, effectively challenging the control environment and managing time efficiently to meet all deadlines associated with the audit plan.

I - Assignment Execution

The Audit Associate is accountable for executing audit tasks as directed by the Lead Auditor within established timelines, adhering to IGE methodologies and Internal Audit standards. Responsibilities include ongoing monitoring, formal audit assessments, and, at times, regulatory issue validation testing:

- Independently conduct audit planning and fieldwork, which includes:

- A preliminary evaluation of the audited activity, identifying associated risks and controls.

- Conducting interviews, testing, and analyzing the results of the controls outlined in the audit program.

- Documenting awareness of regulatory requirements and expectations relevant to the audit areas.

- Providing thorough documentation in test sheets regarding the controls executed and conclusions drawn.

- Identifying and reporting strengths and weaknesses in the audited areas, analyzing root causes and risk impacts of identified weaknesses, and developing remediation strategies and recommendations.

- Maintaining open communication with auditees throughout the audit process to prevent misunderstandings, including documenting issues and identifying responsible parties.

- Presenting audit findings to IGE management and the management of the audited unit, including debriefing presentations and final audit reports.

- Keeping the Lead Auditor and Local Head of Audit informed about the progress of assigned audit work and escalating any issues that may affect the audit's execution.

- Following up on recommendations by monitoring the status of remediation actions taken by management before closing any recommendations.

- Properly archiving all supporting documentation, audit evidence, and deliverables in designated IGE tools.

II - Team Leadership

On certain engagements, the Audit Associate may be called upon to assist junior team members or external resources by providing:

- Guidance on audit methodologies and expected deliverables.

- Feedback on documentation and conclusions from test results and findings.

- Support in fostering collaborative and productive relationships within the team, ensuring close coordination throughout the International Network and with auditees.

III - Continuous Improvement

The Audit Associate plays a role in enhancing IGE methodologies and processes. In addition to audit responsibilities, they may be asked to:

- Contribute to the updating of audit guides, scorecards, or training materials based on existing knowledge and documentation.

- Participate in one or more knowledge communities within IGE.

The Audit Associate should remain informed about banking and regulatory developments and pursue training to maintain a comprehensive understanding of the audited area, completing all mandatory training within defined timelines.

Management and Reporting

The Audit Associate reports directly to the Compliance Lead Auditor and may also report to a global Audit Lead during assignments.

Key Internal Contacts

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

Key External Contacts

The Audit Associate may coordinate with co-source resources on engagements.

Candidate Criteria

Minimal Education Level

Bachelor's Degree / BSc Degree or equivalent.

Academic Qualification / Specialty

Required:
  • Bachelor's or Master's degree in accounting, business, finance, engineering, or a related field.
Preferred:
  • Industry-recognized certification (CPA, CIA, CISA, ACAMS).
Experience Level

3-5 years.

Experience

Required:
  • 2-5 years of experience in audit (internal/external) or a comparable control function within a banking organization.
Preferred:
  • In-depth knowledge of banking operations and products.
Required Skills

Required:
  • Analytical skills.
  • Organizational skills.
  • Verbal and written communication skills.
  • Ability to work autonomously under tight deadlines.
  • Team-oriented mindset.
  • Proficiency in Word, Excel, and PowerPoint.
  • Fluency in English.
Preferred:
  • Relationship management skills.
  • Ability to work in multidisciplinary and multicultural teams.
  • Basic knowledge of French.
Technical Skills Required

Required:
  • Knowledge of auditing techniques or banking activities related to trading, operations, and corporate lending.
  • Understanding of risks associated with banking/securities activities.
Preferred:
  • Understanding of Capital Market and Financing strategies, products, processes, controls, and risks.

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