Senior Auditor, Associate – Regulatory Compliance (Non-AML)

Crédit Agricole SA; New York (NY); On-site; USD 110,000 - 140,000; Full time

Job summary

Crédit Agricole CIB seeks a Senior Auditor, Associate – Regulatory Compliance (Non-AML) in the United States. The role involves independent testing of the compliance control framework, drafting debriefings and final reports, and ensuring audit deliverables meet timetable and quality standards.

Under the supervision of a Lead Auditor, you will perform continuous monitoring, identify control weaknesses, and communicate findings to management. Some travel to relevant locations may be required.

Qualifications

• 3–5 years of internal audit experience in regulatory compliance.
• Bachelor's or equivalent degree in accounting, finance, or related field.
• Industry certifications such as CPA, CIA, CISA or ACAMS preferred.
• Strong knowledge of banking regulation and internal control frameworks.
• Proficiency in MS Word, Excel and PowerPoint.
• Excellent analytical, organizational and communication skills.

Responsibilities

• Carry out audit assignments and continuous monitoring as directed by the Lead Auditor.
• Plan fieldwork, perform testing, and document results per Internal Audit standards.
• Identify risks, document control weaknesses, and propose remediation actions.
• Draft debriefings and final audit reports for Management.
• Maintain timely communication with auditees and escalate issues.
• Support cross‑functional teams and knowledge communities as needed.

Skills

Curiosity

Analytical skills

Organization

Autonomy

Team spirit

MS Word

MS Excel

MS PowerPoint

Relationship management

Multicultural collaboration

Basic French

Education

Bachelor's degree or equivalent (Accounting/Finance)

Bachelor's or higher in accounting, business, finance, engineering

Industry certifications (CPA, CIA, CISA, ACAMS)

Tools

Word

Excel

PowerPoint

Job description

Senior Auditor, Associate – Regulatory Compliance (Non-AML)

Business type

Types of Jobs - General Inspection / Audit

Job title

Senior Auditor, Associate – Regulatory Compliance (Non-AML)

Contract type

Permanent Contract

Job summary

Summary of the position

The IGE Senior Auditor of Regulatory Compliance (non-AML), under the guidance of a Lead Auditor, performs assessments of the 1st (adherence) and 2nd line (advisory and testing) Compliance internal control framework. He/she performs independent testing and analysis on specific controls in order to meet the audit’s objectives, and documents design and effectiveness testing results in line with methodology requirements and Internal Audit Standards. He/she also contributes to drafting the debriefing presentation and the final report sent to Management.

Key Responsibilities

The IGE Senior Auditor 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 – Audit assignments and Continuous Monitoring

The Senior Auditor 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, analyze 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 of the assignment/ Local Head of Audit informed of the progress on the audit work assigned, and elevate 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 any supporting documentation, audit evidence and deliverables in the designated IGE tools.

Salary Range: $110k-$140k

#LI-DNI

Supplementary Information

II – IGE Continuous Improvement Program / Transversal topics

The Senior Auditor 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 IGE.

The IGE Senior Auditor should be current on banking and regulatory matters and 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 IGE Director.

During an assignment, the Senior Auditor may functionally report to a local or global Lead Auditor 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 IGE Senior Auditor may be asked to coordinate co‑source resources on engagements.

Role specific requirements

This role may require business travels in any relevant locations to conduct the assigned audits, for periods up to several consecutive weeks.

Auditors must comply with the CACIB Audit Charter, in particular the five fundamental ethical principles (integrity, objectivity, confide

Geographical area

America, United States Of America

City

Bachelor Degree / BSc Degree or equivalent

Bachelor or post graduate degree in accounting, business, finance, engineering or relevant field (or relevant experience)

Industry recognized certification (CPA, CIA, CISA, ACAMS)

Level of minimal experience

3-5 years

Experience

Experience - Required

3 to 5 years of experience in internal audit covering regulatory compliance, or related internal control function with awareness of financial services regulatory compliance

Working knowledge of SR 08-8

Required skills

Curiosity and willingness to learn the financial services landscape and IGE methodology

Analytical skills

Organization

Ability to work autonomously under deliverable timelines

Team spirit

Proficiency in Word, Excel and PowerPoint

Relationship management

Ability to work in multi-disciplinary and multicultural teams

Basic French

Technical skills required

Skills & Knowledge Requirements

Auditing techniques

Understanding of the risks generated by banking / securities activities

Understanding of financial services regulatory compliance

Languages

General information

Entity

About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB)

Crédit Agricole CIB is the corporate and investment bank of the Crédit Agricole group, the 10th largest banking group in the world.

We support major companies and financial institutions in their development and the financing of their projects.

As pioneers in responsible finance, social and environmental commitments are at the heart of our activities.

Joining our teams means working in a multicultural environment, both dynamic and stimulating, where you will contribute to developing a sustainable economy.

We support employees throughout their journey: you will develop your skills and access various mobility opportunities among the diversity of our businesses in more than 30 international locations.

Our culture is built on collaboration, innovation and openness, where everyone is valued and empowered.

By working every day in the interest of society, Crédit Agricole CIB aligns with the Group values committed to diversity and inclusion and placing people at the heart of all its transformations.

All our jobs are open to people with disabilities. We welcome applications from candidates of all backgrounds and experiences.

Ready to take part in our mission ?

*By balance sheet size - The Banker, Juillet 2025