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International Sanctions Subject Matter Expert / Lead Auditor

Vacancy details

General information


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

Crédit Agricole CIB is the corporate and investment banking arm of Credit Agricole Group, the 12th largest banking group worldwide in terms of tier 1 capital (The Banker, July 2021). Nearly 8,600 employees across Europe, the Americas, Asia-Pacific, the Middle East and Africa support the Bank's clients, meeting their financial needs throughout the world. Crédit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital markets 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.

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Job description

Business type

Types of Jobs - General Inspection / Audit

Job title

International Sanctions Subject Matter Expert / Lead Auditor

Contract type

Permanent Contract

Job summary

Key Responsibilities

I - Knowledge Management


-Contribute to the on-going development of IGE and IGL’s knowledge and expertise on auditing International Sanctions risks related subject matters, including a regulatory watch on US laws, regulations and guidelines/ best practices and auditing standards applicable to these risks; attend industry or CA group events to keep abreast of International Sanctions related developments in the banking industry;

-Monitor the evolution of relevant CA group policies and procedures, as well as related systems and tools, implemented in the group to manage and mitigate International Sanctions risks

-Nurture and disseminate the understanding of International Sanctions risks and relevant knowledge among IGE specialised and non-specialised auditors; contribute to the definition of their training programs and, if need be, deliver training sessions

-Work closely with the Compliance Practice Leader in the Compliance Risk Knowledge Community; encourage auditors to join the community

-Manage the capitalization process for International Sanctions related matters. Contribute to SynerGIA and distribute relevant information within IGE and IGL. Ensure methodologies and audit guides are updated at the end of the assignments

-Liaise with IGE’s Methods & Support department to improve audit methodologies, processes, tests and tools.

-Closely liaise with, and contribute to AIBL projects and Compliance Knowledge Management initiatives (e.g. work done by IGL’s Financial Security Knowledge Community)

-Liaise with the Head of Regulatory Coordination and Heads of IGE hubs for the preparation and follow-up of inspections conducted by supervisors or regulators on International Sanctions risks; ensure that lessons to be learnt from their reports are disseminated where relevant within IGE and IGL; contribute to the monitoring of the proper implementation of their recommendations

-Liaise as and when required with external auditors, lawyers and banking or market supervisors on International Sanctions risk matters

II - Conduct of assignment

The Lead Auditor manages or conducts, as needed, audit assignments from planning to reporting. This includes the following responsibilities:


-Assess the risks of the audited activities, including International Sanctions risks and associated operational risks, test and validate the related control environment for its design and operating effectiveness

-Review and challenge the processes and controls in place to mitigate the risks, relying on fact based and documented audit work

-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, making sure that it complies with IGE standards and procedures, and adjust, if need be, the audit program to the risks identified and / or document clearly and precisely in test sheets the controls performed and the conclusions reached

Position location

Geographical area

America, United States Of America



Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality


  • Bachelor or Master’s Degree in accounting, business, finance, engineering or related field


  • Professional Accountancy/Auditing/Banking qualifications and/or certification (CFA, CPA, CIA, CISA, CAMS)
  • Good interpersonal skills

  • Regulatory Compliance Knowledge

  • Using data analytics tools

  • Basics of coding (to analyze data)

Level of minimal experience

6-10 years


Job description continued

-Maintain close communication with the assignment’s Supervisor on work progress
-Notify immediately the assignment Supervisor of any major control weakness (reputational, regulatory, compliance, etc.) identified during the audit review and comply with the escalation policy of the bank
-Manage and organize interviews, debriefing meetings of conclusions with the relevant managers
-Review the auditees answers to the draft audit report and finalize with IGE Management the final audit report
-Ensure that audit deliverables comply with IGE Methodologies and Audit Charter

The Lead Auditor is regularly trained on banking and regulatory matters and must have a sufficient knowledge of the audited area he/she is responsible for. He/she must complete all the mandatory trainings within the defined timelines.

III – Management of a team during an assignment

-Define objectives and perform end of assignment assessment for the allocated team
-Prepare the assignment planning and allocate work streams by team member; 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, for instance by training team members on International Sanctions, or on other relevant topics

Required skills

IV – Contribution to other assignments

-Participate in “brainstorming meetings” to help IGE or IGL’s Supervisors and Lead Auditors identify relevant International Sanctions risks to be covered and determine the associated training needs of auditors; assist them during the planning phase of the assignment to assess the scope and depth of work on International Sanctions risk related topics

-Help auditors during the assignment when they need technical support on International Sanctions risk matters

-Contribute to the Quality Assurance reviews of work papers/workshops addressing International Sanctions risks in assignments

-Ensure that risk assessments, findings and recommendations issued on International Sanctions are consistent across the various units executing the assignments

V - Audit monitoring and strategy

-Contribute to the continuous monitoring, risk assessment and definition of a multi-year audit strategy for International Sanctions risks, in close coordination with the Audit Partner for CPL

-Contribute to the preparation of the yearly Audit Program

-Contribute to the follow-up of audit recommendations addressing among other items International Sanctions risks

Management and Reporting

Reporting to the America’s hub Audit Supervisor

Key Internal contacts

Head Office CPL Practice Leader
CACIB Financial Security/CPL, IGE senior management
CASA DDC (incl. International Sanctions team); IGL Financial Security subject matter expert and Knowledge Community

Technical skills required

Key External contacts

Financial Security and International Sanctions consultants and lawyers

Role specific requirements

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

Lead Auditors and SMEs 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


  • At least 8 to 10 years of experience in audit covering International Sanctions/Anti-monetary laundering and other non-compliance risks
  • CAMS
  • Autonomy and Leadership skills

  • Ability to accurately analyse and summarise

  • Reliability

  • Organization, efficiency, meeting deadlines

  • Project management (work organization, time planning, feedback, etc.)

  • Verbal and written communication

  • Interpersonal skills

  • Self-confidence, ability to defend own findings and conclusions, ability to cope with stress

  • Proficiency in English

  • Knowledge of audit principles, practices and techniques

  • Knowledge and understanding of the risks generated by banking / securities activities

  • Financial Security & International Sanctions knowledge

  • Demonstrated ability to gather, analyse facts, and prepare and present concise reports

  • Ability to lead a group or work as part of a group to accomplish shared goals



  • Team management
  • CGSS
  • Ability to work across disciplines and cultures

  • Basic French