Senior Auditor - Capital Markets (Associate)
: Job Details :

Vacancy detailsGeneral informationEntity 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 2022). 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 AgricoleCIB 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 www.ca-cib.com 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 2024-87275 Update date 16/04/2024 Job descriptionBusiness typeTypes of Jobs - General Inspection / AuditJob titleSenior Auditor - Capital Markets (Associate)Contract typePermanent ContractJob summaryKey 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 assignmentThe 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- 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 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 managementOn 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 auditeesSupplementary InformationIII - 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:- 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 IGEThe 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 ReportingDirect reporting line to the Compliance Lead AuditorDuring an assignment, the Audit Associate may also report to a global Audit Lead in charge of the assignmentKey Internal contactsAuditees ( 2nd line CACIB Compliance and CUSO Compliance, Compliance Monitoring), other control functionsKey External contactsThe Audit Associate may be asked to coordinate co-source resources on engagementsSalary Range: $100k - 130kPosition locationGeographical areaAmerica, United States Of AmericaCityNEW YORK Candidate criteriaMinimal education levelBachelor Degree / BSc Degree or equivalentAcademic qualification / SpecialityRequired: Bachelor or Masters' degree in accounting, business, finance, engineering or related fieldPreferred:Industry recognized certification (CPA, CIA, CISA, ACAMS)Level of minimal experience3-5 yearsExperienceRequired:2-5 year experience in audit (internal / external) or comparable control function in banking organizationPreferred:In-depth knowledge of bank operations and productsRequired skillsRequired:Analytical skillsOrganizationVerbal and written communication skillsAbility to work autonomously under deliverable timelinesTeam spiritProficiency in Word, Excel and PowerPointFluent in EnglishPreferred:Relationship managementAbility to work in multi-disciplinary and multicultural teamsBasic FrenchTechnical skills requiredRequired:Auditing techniques or knowledge of Bank activities pertaining to trading, operations, corporate lendingUnderstanding of the risks generated by banking / securities activitiesPreferred:Understanding of Capital Market and Financing strategy, products, processes, controls and risks