The Senior Auditor performs, under the supervision of a Lead Auditor, preliminary assessments of the audited activity and its internal control framework. He/she performs independent testing and analysis on specific controls in order to meet the audit’s objectives. He/she also contributes to documenting the audit summary / debriefing presentation and the final audit report for Management review. Depending on the assignment, Senior Auditors may be required to supervise one or several junior auditors and may act as deputy to the Lead Auditor.

The Senior Auditor is expected to work independently under minimum supervision or supervise one or several junior auditors on the audit team.

I – Conduct of assignment

When working independently, the Senior Auditor is responsible for carrying out audit work assigned by the Lead Auditor within the defined timeframes in accordance with IGE methodology and Internal Audit procedures and 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 provide comprehensive documentation in test sheets, highlight the controls assessed and conclusions reached
- To identify and report on strengths and weaknesses of the audited areas, analyze the root causes and risk impact of the identified weaknesses, document recommendations to address the root causes of audit findings and conclude on the effectiveness of the control environment
- 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 Auditor in charge of the assignment/ Local Head of Audit informed of the progress on the audit work assigned, and escalate any issues that may impact or delay the audit execution, or any other concerns relating to the assigned audit and the risk and control environment
- To conduct recommendations follow-ups through the monitoring of remediation status and corrective actions taken by Management prior to closing any recommendations
- To ensure adequate documentation of supporting documents, audit evidence and deliverables in the designated IGE tools.

II - Team management

The Senior Auditor, when supervising one or several junior Auditors, is responsible for:

- Training the junior auditors on the audit techniques and expected deliverables
- Reviewing work performed by the junior auditor to ensure that test results and findings are adequately documented and recommendations fully address the risks identified
- Providing regular feedback to the junior auditor and contributing to the setting of objectives for the junior auditor and end of assignment evaluations
- Ensuring collaborative and productive relationships with the audit team through close coordination, communication with auditees

Bachelor or Masters’ degree in accounting, business, finance, engineering or related field

4-5 years of experience in audit (internal / external) or banking organization

Desirable:

Industry recognized certification (CPA, CIA, CISA, ACAMS)

Previous audit experience in a financial institution focusing on Capital Markets

Job Summary Contin.:

III – IGE Continuous Improvement Program / Transversal topics
The Senior Auditor contributes to the continuous improvement of IGE methodologies and processes. In addition to the audit responsibilities, she/he can be requested to:

- Contribute to audit guides, scorecards or training materials related to specific activities based on existing knowledge, documentation, interviews, etc.
- Build and share knowledge (e.g. through contributing to SynerGIA, delivering training or taking part in various Methods and Support workstreams or assignments)
- Participate in one or several knowledge communities within IGE

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

Management and Reporting

Direct reporting line to the Local Head of Audit or a Global Audit Manager
During an assignment, reporting to the Lead Auditor in charge of the assignment, or to another Senior Auditor depending on the organization of the assignment.

Key Internal contacts
Auditees, other control functions

Key External contacts
N/A

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.
Auditors must comply with the CACIB Audit Charter, in particular the five fundamen

• Proficiency in Word, Excel and Powerpoint
• Analytical skills
• Verbal and written communication skills
• Ability to deliver under time pressure
• Accuracy
• Organization
• Autonomy
• Team spirit
• Fluent in English

Desirable:

• Relationship management
• Ability to work in multi-disciplinary and multicultural teams
• Basic French

Essential:

• Auditing techniques
• Understanding of the risks generated by banking / securities activities

Desirable:

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

Salary Range: $95,000 - $120,000