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Crédit Agricole CIB · 1 day ago

Lead Auditor - Vice President, Regulatory Compliance

New York, NY

Full-time

Onsite

Mid, Senior Level

$165K/yr - $185K/yr

6+ years exp

Crédit Agricole CIB is looking for a Lead Auditor for their Regulatory Compliance team. The Lead Auditor will conduct audit assignments from planning to the issuance of final reports, ensuring compliance with corporate regulations and leading a team of auditors throughout the audit process.

BankingFinancial Services

H1B Sponsor Likely

Hiring Manager

Joseph Sbarra

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

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

Contribute to the ongoing 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

Qualification

Regulatory compliance expertiseAudit methodologiesProject managementAnalytical skillsVerbalWritten communicationLeadershipRelationship managementCapacity to cooperateWork across disciplinesAccuracyFluent in EnglishBasic FrenchReliability

Required

6 to 10 years of experience in audit or relevant control environment

Bachelor or Masters' degree in accounting, business, finance, engineering, economics or related field (or relevant experience)

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

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

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

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

Relationship management

Capacity to cooperate

Ability to work across disciplines and cultures

Basic French

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

Preferred

Certification (e.g. CFA, CPA, CIA)

Strong knowledge of bank and broker dealer operations

Series 99

Company

Crédit Agricole CIB

Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, 9th largest banking group worldwide in terms of balance sheet size in 2023 (The Banker, July 2024).

Founded in 2004

Paris, Ile-de-France, FRA

5001-10000 employees

http://www.ca-cib.com

H1B Sponsorship

Crédit Agricole CIB has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

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Trends of Total Sponsorships

2025 (3)

2024 (6)

2023 (2)

2022 (4)

2021 (2)

2020 (1)