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Senior Auditor - Capital Markets (Associate)

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 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


By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.   



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Job description

Business type

Types of Jobs - General Inspection / Audit

Job title

Senior Auditor - Capital Markets (Associate)

Contract type

Permanent Contract

Job summary


Key Responsibilities:

The Audit Associate is expected to work independently under minimum supervision, provide appropriate effective challenge of the control environment, and manage his/her time to meet all deliverable dates to keep the audit plan on schedule.


I – Conduct of assignment

The Audit Associate 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. Audit work includes continuous monitoring, formal audit coverage, and at times may include regulatory issue validation testing:

- Independently carry out audit planning and fieldwork of audit coverage, 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

- Documented awareness of the regulatory requirements, impacts, and/or expectations pertaining to coverage area(s).

- Provide comprehensive documentation in test sheets the controls performed and conclusions reached

- Identify and report on strengths and weaknesses of the audited areas, analyse the root causes and risk impact of the identified weaknesses, develop remediation and recommendations to address the audit findings and conclude on the effectiveness of the control set-up and business practices

- Maintain open communication with auditees during coverage to prevent confusion or surprises, including documenting issues and identifying owners during the audit

- Present audit conclusions to IGE management and to the management of the audited unit (debriefing presentation, final audit report, etc.)

- 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’s execution, or raise any other relevant information on the assigned audit and the risk and control environment

- Conduct recommendations follow-ups through the monitoring of remediation status and corrective actions taken by Management prior to closing any recommendations

- Properly archive of any supporting documentation, audit evidence and deliverables in the designated IGE tools.


II – Team management

On some engagements the Audit Associate may be asked to assist more junior team members or external resources by providing:

- Guidance on audit techniques and expected deliverables

- Feedback on documentation and conclusions of test results and findings

- Assistance in developing collaborative and productive relationships within the team with close coordination throughout the International Network and with auditees

Supplementary Information

III – IGE Continuous Improvement Program / Transversal topics
The Audit Associate contributes to the continuous improvement of IGE methodologies and processes. In addition to the audit responsibilities, she/he can be requested to:
- Provide input to update audit guides, scorecards or training materials related to specific activities based on existing knowledge, documentation, interviews, etc.
- Participate in one or several knowledge communities within IGE
The Audit Associate should be current on banking and regulatory matters and must always seek training to maintain sufficient knowledge of the audited area. She/he must complete all the mandatory trainings within the defined timelines.


Management and Reporting

Direct reporting line to the Compliance Lead Auditor

During an assignment, the Audit Associate may also report to a global Audit Lead in charge of the assignment


Key Internal contacts

Auditees (2nd line CACIB Compliance and CUSO Compliance, Compliance Monitoring), other control functions


Key External contacts

The Audit Associate may be asked to coordinate co-source resources on engagements

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


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

Level of minimal experience

3-5 years



  • 2-5 year experience in audit (internal / external) or comparable control function in banking organization


  • In-depth knowledge of bank operations and products

Required skills


  • Analytical skills
  • Organization
  • Verbal and written communication skills
  • Ability to work autonomously under deliverable timelines
  • Team spirit
  • Proficiency in Word, Excel and PowerPoint
  • Fluent in English


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

Technical skills required


  • Auditing techniques or knowledge of Bank activities pertaining to trading, operations, corporate lending
  • Understanding of the risks generated by banking / securities activities


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


Salary Range: $100,000 - $130,000