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Lead Auditor, Financial Security

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

Lead Auditor, Financial Security

Contract type

Permanent Contract

Job summary

Key Responsibilities

The Lead Auditor is in charge of conducting assignments and managing the team during the assignments. The assignments may be local, regional or global.

I – Conduct of assignment

The Lead Auditor conducts audit assignments from planning, scoping, fieldwork to final reporting, which includes the following:

-To assess the risks of the audited activities (Financial Security risks including BSA/AML and International Sanctions) and to identify the related controls and their criticality

-To review and challenge the design of the existing processes and controls based on review and analysis of information obtained

-To assess the compliance of the audited unit’s adherence with internal policies and procedures, and the applicable laws and regulations

-To monitor the fieldwork carried out by the team by focusing on the key risks and controls identified,

-To communicate openly with the Global Audit Manager / Head of Local Audit/ Regional Supervisor on audit progress based on the agreed timelines

-To follow the internal escalation policy of the Bank and IGE and provide timely escalation to the Global Audit Manager / Regional Supervisor / Head of Local Audit on any major control weaknesses (regulatory, reputational, operational or financial risks.)

-To organize interviews, debriefing meetings of conclusions with senior management in the audited areas

-To review management response to the draft report and prepare counter-response if needed

-To produce the final deliverables following IGE methodologies determined under the Audit Charter

II – Management of a team during an assignment 

-Define objectives and perform end of assignment assessment for audit team members engaged in the assignment,

-Contribute to develop the team’s knowledge and skills

-Prepare assignment planning and allocate work streams to team members and manage projects/tasks/staff and budget resources efficiently

-Maintain a collaborative and productive relationship within the team and close coordination throughout the International Network and with auditees

-Contribute to the team’s knowledge development through on-the-job training for team members on Audit methodology, governance, regulation, or new topics upon request from Global Audit Manager / Regional Supervisor / Head of Local Audit

III – IGE Continuous Improvement Program / Transversal topics

The Lead Auditor, who is expected to contribute to the continuous improvement of IGE methodologies and processes, can be requested to:

-Contribute to the creation or update of audit methodologies and audit processes/guides on specific topics

-Build and share knowledge (e.g. through contributing to SynerGIA, delivering training or taking part in various Methods and Support workstreams or assignments)

-Update Auditable Items scorecards in liaison with the relevant Global Audit Manager

-Share any relevant information with the IGE Knowledge Community leaders and relevant Audit Partners

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 law, political sciences, international business school, engineering or related field


·Professional Accountancy/Auditing/Banking qualifications and/or certification (CAMS AML or CGSS).


Role specific requirements

This role may require business travels to 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

Level of minimal experience

6-10 years


-Engage in one or more IGE knowledge communities

-Manage resources and budget of audit assignment to achieve the objectives of the audit plan

-Contribute to the preparation of the audit plan, in coordination with the Audit Manager in charge

The Lead Auditor specialized in Financial Security should be regularly trained on banking and regulatory matters and must have a sufficient knowledge of the audited area that he/she is responsible for. Previous experience in auditing financial security (BSA/AML, international Sanctions) is required, as well as a strong knowledge of US local regulation regarding BSA/AML and International Sanctions. Any additional experience in business at risk (Correspondent Banking, Trade Finance) as a Front Officer or Controller (second line of defense) is a must.    

He/she must complete all the mandatory trainings within the defined timelines.

Management and Reporting 

Organizationally, the Lead Auditor reports directly to a Regional Audit Supervisor.

During an assignment, the Lead Auditor reports to the Global Audit Manager/Regional Supervisor or Head of Local Audit in charge of the assignment

Key Internal contacts

Auditees, other control functions

Key External contacts



Required skills


·Organization, prioritization and multi-tasking

·Project management skills (planning and execution)

·Verbal and written communication

·Interpersonal skills

·Autonomy and Leadership

·Ability to meet competing deadlines and work under stress

·Accountable, dedicated and reliable

·Strong analytical skills

·Fluent in English

·Knowledge of the principles, practices and techniques of auditing

·Proven skills/knowledge on Financial Security (BSA/AML US local regulation, KYC review, filtering of payment tools, screening of customers’ database, Politically Exposed Persons, Enterprise Wide Risk Assessment, Alerts handling, Review of Financial Security opinions…)

·Knowledge of organization and key activities of the Bank,

·Ability to gather, analyse data, and prepare and present with clear messages

·Ability to lead a group or work as an individual to accomplish shared goals

·4 to 8 years of experience in audit

·Audit experience in one or more of the following fields

oBSA/AML Compliance

oInternational Sanctions

oTrade Finance / Correspondent Banking or any other area exposed to Financial Security risks


·Relationship Management

·Capacity to cooperate

·Ability to work across disciplines and cultures

·Basic French (preferable)

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