Lead Auditor, Vice President - Regulatory Compliance

Lead Auditor, Vice President – Regulatory Compliance

Lead Auditor, Vice President – Regulatory Compliance

Business type

Types of Jobs - General Inspection / Audit

Contract type

Permanent Contract

Job summary

Summary

The 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

Supplementary Information

III – Management of a team during an assignment

• 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

The Lead Auditor contributes to the continuous improvement of IGE methodologies and processes. As part of his/her responsibilities, he/she can be requested to:

• Contribute to the on-going 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

Geographical area

America, United States Of America

City

Bachelor Degree / BSc Degree or equivalent

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

Level of minimal experience

6-10 years

Experience

• 6 to 10 years of experience in audit or relevant control environment
• Preferred:Certification (e.g. CFA, CPA, CIA)
• Strong knowledge of bank and broker dealer operations
• Series 99

- Contribute to the preparation of the audit plan, in coordination with the local IGE leadership

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

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.

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.

Required skills

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.

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

Relationship management

Capacity to cooperate

Ability to work across disciplines and cultures

Basic French

Technical skills required

Skills & Knowledge Requirements

Knowledge of the principles, practices and techniques of auditing

Demonstrated ability to gather, analyze 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

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

General information

Entity

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

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.

*By balance sheet size - The Banker, Juillet 2025