- 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
- Documented awareness of the regulatory requirements, impacts, and/or expectations pertaining to coverage area(s).
- 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 setup 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 followups 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.
- 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
- 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
- Bachelor or Masters' degree in accounting, business, finance, engineering or related field
- Industry recognized certification (CPA, CIA, CISA, ACAMS)
- 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
- 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
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Senior Auditor - New York, United States - Crédit Agricole CIB Limited
Description
Vacancy details
General information
Entity
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
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
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
Update date
16/04/2024
Job description
Business type
Types of Jobs - General Inspection / Audit
Job title
Senior Auditor - Capital Markets (Associate)
Contract type
Permanent Contract
Job summary
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.
II - Team management
On some engagements the Audit Associate may be asked to assist more junior team members or external resources by providing:
Supplementary Information
III - IGE Continuous Improvement Program / Transversal topicsThe Audit Associate contributes to the continuous improvement of IGE methodologies and processes.
In addition to the audit responsibilities, she/he can be requested to:
The Audit Associate should be current on banking and regulatory matters and must always seek training to maintain sufficient knowledge of the audited area.
She/he must complete all the mandatory trainings within the defined timelines.Management and Reporting
Direct reporting line to the Compliance Lead Auditor
During an assignment, the Audit Associate may also report to a global Audit Lead in charge of the assignment
Key Internal contacts
Auditees ( 2nd line CACIB Compliance and CUSO Compliance, Compliance Monitoring), other control functions
Key External contacts
The Audit Associate may be asked to coordinate co-source resources on engagements
Salary Range:
$100k - 130k
Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
Required:
Preferred:
Level of minimal experience
3-5 years
Experience
Required:
2-5 year experience in audit (internal / external) or comparable control function in banking organization
Preferred:
In-depth knowledge of bank operations and products
Required skills
Required:
Preferred:
Technical skills required
Required:
Preferred: