Key Responsibilities

-Manage the Internal Audit Department: adapt auditors’ profile to the environment – ensure smooth succession plan and career evolution. Recruit, supervise, train and evaluate the performance of the audit staff; propose the appropriate training level to reach the highest Audit standards and convergence with requirements set-out in the Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing from the FRB (SR 13-1) and Group audit methodologies. Ensure audit process meets the standard steps: detailed and updated diagnosis – selection of audit workshops and investigations based on prioritized risk areas – clear and constructive debriefing with auditees – production of audit reports, all within appropriate timeline.

-Provide an independent assessment of the regularity and conformity of operations, compliance with procedures, efficiency of internal control systems and their appropriateness to achieve the objectives of the Group, via the supervision of audit assignments

-Update regularly the risk mapping to the local organization of the entities within the audit scope, develop and execute the Audit Plan within the Audit perimeter – prioritize areas of focus according to the risk assessment

-Perform and supervise special investigations at the request of the Group Internal Audit or at the request of the local Management, subject to prior approval of Group Internal Audit;

-Maintain clear and effective communication with Group Internal Audit and local management, and in particular alert Group Internal Audit and CA-CIB Americas Management about significant audit issues.

-Escalate to IGE Head Office and local Management any significant delay in the implementation of corrective actions. Propose action plan to help management tackle long standing audit issues

-Provide assistance or participate into assignments performed by the Central team of Inspection Generale as required by Group Internal Audit

-Liaise with external auditors to co-ordinate the internal and external audit works

-Manage the department’s resources/capacity to execute the audit plan and other tasks as needed

-Maintain fruitful and constructive dialogue with the relevant regulatory authorities and liaise with them, especially during their on-site missions

-Participate in the co-ordinated responses to Regulators requests

-Report to governance bodies

Management and Reporting

-Manage the Internal Audit Department

-The Head of IA has a direct reporting line to the Group Internal Audit and a functional reporting line to the CEO of CA-CIB Americas in New York.

Essential

-Masters Degree

Desirable

-Educational focus in accounting, finance or related field of study; industry recognized certification preferred (CPA, CIA, CISA, CAMS).

Essential

-10-15 years of experience in audit, at least 2 of which should involve managerial responsibilities in an audit group (lead auditor, audit manager, Head of audit)

Desirable

-15 years of experience in a comparable financial services environment at least 10 of which should involve auditing or risk management activities;

SPECIAL ROLE REQUIREMENTS: 

-       Internal Auditors shall have full, free and unrestricted access to any and all the organization’s records, physical properties and personnel relevant to any function under review.

-       Internal 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.

Essential

-Ability to communicate clearly and easily, including in writing

-Ability to analyse and summarise

-Rigour and sense of organisation

-Apprehension of results and priorities

-Autonomy

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

-Management skills

-Professional integrity

Desirable

-Relationship management

-Capacity to cooperate/Ability to work across disciplines