The Lead Auditor / Vice President – Montreal Team Lead conducts IGE (Inspection Generale / Internal Audit) Americas audits supporting all regional activities within the Americas, with specific ownership of CACIB Canada Branch / Credit Agricole Services and Operations. In addition to supporting regional and global general audit coverage, the auditor performs regional IT / cybersecurity / data coverage. This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of recommendations. He/she is responsible for the timeliness and comprehensiveness of the audit deliverables under the supervision of the IT Audit Supervisor in NY, or another global Audit Supervisor. He/She is accountable for maintaining open communication with stakeholders, and drafting the management debriefing presentation and final report. He/she usually leads a team of several auditors. In most audits he/she also executes control sections of the audit.

Key Responsibilities:

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

Conduct of assignment

• Assess the risks of the audited activities and to validate the related control environment for its design and operating effectiveness
• Review and challenge the processes and controls in view of their respective purpose and mandates as well as the related risks, relying on fact based and documented audit works
• 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 and to adjust the fields of audit to the risks identified,
• Maintain close communication with the IGE and stakeholder management on audit progress following the pre-set timeframe
• Notify immediately the Audit Manager /Regional Supervisor /Head of Local Audit of any major control weaknesses (reputational, regulatory, compliance, etc.) identified during the audit review and comply with any escalation policy in the bank
• Manage and organize interviews, debriefing meetings of conclusions with Management impacted by the audit
• Follow up, review and finalize with Management on response to the draft audit report and prepare for the final audit report publication
• Document, communicate, and memorialize audit deliverables are in adherence to the IGE Methodology as per the Audit Charter
• Monitor and maintain assigned Auditable Objects (AO) pertaining to the assigned areas of coverage

Team management

• Define objectives and perform end of assignment assessment for the team allocated during an assignment
• Prepare assignment planning and allocate work streams by team member and 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, providing guidance and feedback to team members

IGE Continuous improvement Program / Transversal topics

• Contribute to the on-going development of IGE’s knowledge and expertise on trading activity / structured business or operations controls, including regulations and guidelines (regulatory watch), auditing standards and best practices; attend industry or CA group events to keep abreast of relevant developments in capital markets and market risk management
• Contribute to the creation or update of methodologies and audit processes/guides through iterative dialogue with Methods & Support
• Update Auditable Items scorecards in liaison with the relevant Audit Manager
• Share any relevant information with the IGE Knowledge communities’ leaders and relevant Audit Partners
• Manage resources and schedule of the assignment to achieve the objectives of the audit plan
• Contribute to the preparation of the audit plan, in coordination with the local IGE leadership

Management and Reporting

Direct reporting line will be to the local CASO Deputy CEO, and function reporting line to the IT Americas Supervisor responsible for IT coverage.

Key Internal contacts

Auditees (IT and Operations services, Global Information Technology, Information System Security and Business Continuity Management departments), other control functions

Key External contacts

The Audit Lead may be asked to coordinate co-source resources on engagements or provide support for regulator interactions

• Bachelor or Masters’ degree in Information Technology, business, finance, math, engineering or related field
• CISA Certification

• 5-8 years’ experience in audit (internal / external) or banking organization or IT
• Previous experience in a bank

• Organization, efficiency, results-driven, analytical skills
• Project management (e.g. work organization, time planning, feedback, communication)
• Verbal and written communication skills in English required (you will need to service Anglophone clients and work with Anglophone colleagues) - French is considered a strong asset
• Autonomy and Leadership
• Self-confidence, ability to defend own findings and conclusions, ability to cope with stress
• Accuracy and reliability

• Auditing techniques
• Understanding of the risks generated by banking / securities activities
• Specific skills/knowledge on IT and IT risks
• Ability to perform basis coding in Python, Java, Javascript.
• Ability to perform data analytics using spreadsheets, databases, Python, PowerBI
• Familiarity with commonly used tools such as ServiceNow, vulnerability scanners and penetration testing tools etc

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