Lead Auditor, Vice President – Regulatory Compliance

Crédit Agricole Group; New York (NY); Sur place; USD 150 000 - 185 000; Plein temps

Résumé du poste

Crédit Agricole Group seeks a Lead Auditor to drive second-line corporate regulatory compliance audits from planning through final reporting. You will assess risks, test controls, and validate compliance with policies and laws while coordinating a team of auditors.

You will maintain open communication with stakeholders, draft management debriefings and final reports, and ensure timely, comprehensive deliverables under supervision.

Qualifications

• Experience leading internal audits or regulatory compliance reviews.
• Strong understanding of risk assessment and control testing.
• Excellent stakeholder communication and report writing.

Responsabilités

• Lead audit assignments from planning to final report.
• Assess risks and validate design and operating effectiveness of controls.
• Review processes for compliance with policies, procedures, laws, and regulations.
• Coordinate fieldwork, communicate progress with stakeholders, and escalate issues.
• Prepare management debriefings and final audit reports.

Description du poste

Summary

Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of recommendations. He/she is responsible for the timeliness and comprehensiveness of the audit deliverables under the supervision of the Local Head of Audit or an Audit Supervisor. He/She is accountable for maintaining open communication with stakeholders, and drafting the management debriefing presentation and final report. He/she usually leads a team of several auditors. In most audits he/she also executes control sections of the audit.

He/she generally, but not exclusively, leads audit assignments that have a focus corporate compliance and regulatory requirements. He/she provides support to other IGE Managers for assignments where regulatory compliance expertise is needed. He/she monitors and validates the implementation of recommended corrective actions identified in audit or regulatory coverage.

Key Responsibilities

II – Conduct of assignment

The Lead Auditor conducts audit assignments from planning to issuance of the final report. This includes the following 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

Salary Range: $150k-$185k