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Senior Auditor Compliance


Vacancy details

General information

Entity

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

Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022).
8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North 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 market 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.


For more information, please visit www.ca-cib.com

Twitter: https://twitter.com/ca_cib
LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/
  

Reference

2022-66274  

Update date

07/04/2022

Job description

Business type

Types of Jobs - Corporate & Investment Banking

Job title

Senior Auditor Compliance

Contract type

Permanent Contract

Job summary

Summary of the position

The Senior Auditor Compliance performs, under the supervision of the Lead Auditor, a preliminary assessment of the audited activity against the UK Financial regulations and its internal control framework. He/she performs independent testing and analysis of specific controls in order to meet the audit’s objectives. He/she also contributes to drafting the debriefing presentation and the final report to Management.

Key responsibilities

I- Conduct of assignment

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. This includes:
-              To independently carry out audit planning and fieldwork, 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
-              To document clearly and precisely in test sheets the controls performed and the conclusions reached
-              To identify and report on strengths and weaknesses of the audited areas, to analyse the root causes and consequences of the identified weaknesses, to formalise possible remediation and recommendations to address the findings and to conclude on the effectiveness and efficiency of the control set-up and business practices
-              To present audit conclusions to IGE management and to the management of the audited unit (debriefing presentation, final audit report, etc.)
-              To keep the Lead A uditor in charge of the assignmenU Local Head of A udit informed of the progress on the audit wor k assigned, and to escalate any Issue that may Impact or delay the audit's execution or to raise any other relevant informat ion on the assigned audit and the risk and control environment
-              To conduct recommendat ions follow-ups to monitor whether adequate corrective actions have been taken prior to closing any recommendations
-              To ensure proper archiving of any supporting documentation, audit evidence and deliverables.

The Senior Auditor may either work independently or supervise one or several auditors.

I – Conduct of assignment

When working independently, 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. This includes:
o             To independently carry out audit planning and fieldwork, including:
o             A preliminary assessment of the audited activity highlighting the related risks and controls
o             Interviews, testing and analysis of the results of the controls planned in the audit program
o             To document clearly and precisely in test sheets the controls performed and the conclusions reached

Position location

Geographical area

Europe, United Kingdom

City

London

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

ESSENTIAL

•             Experience in UK Financial regulations/AML/Financial Security/MAR/Mifid (however other candidates with the required skill set will be considered)

 

DESIRABLE

•             Degree in accounting, business, finance or related field

•             Professional Auditing/Banking qualifications

•             Proficient level in several languages (focus on western European languages considering

the scope of supervision)

Required skills

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

•             Accuracy and reliability

•             Analytical skills

•             Fluent in English

•             Capacity to cooperate/Ability to work across disciplines and cultures

Technical skills required

Auditing techniques

•             Understanding of the risks generated by banking and securities activities              

•             Understanding of Capital Market and Financing activities, products , processes, controls and risks

 

 

ESSENTIAL EXPERIENCE

•             Knowledge of the principles, practices and techniques of auditing

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

•             Knowledge of organization and activities of the Bank, capacity to capitalize on previous experiences

•             Any specific skills/knowledge on capital markets, financing or control

and support functions

 

DESIRABLE EXPERIENCE

 

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