Crédit Agricole Group
Lead Auditor – Regulatory Compliance (VP)
Crédit Agricole Group, New York, New York, us, 10261
Key Responsibilities
I – Conduct of assignment
The Lead Auditor conducts audit assignments from planning to issuance of the final report. This includes the following responsibilities:
- 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/IGL Methodologies as per the Audit Charter- Monitor and maintain assigned Auditable Objects (AO) pertaining to the assigned areas of coverage
II – Management of a team during an assignment
- 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 on the coverage subject matter
III – IGE Continuous Improvement Program / Transversal topics
- Contribute to the on-going development of IGE’s knowledge and expertise regulatory guidelines, requirements, or expectations; attend industry or CA group events to keep abreast of relevant developments in second line compliance advisory and testing.- 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
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I – Conduct of assignment
The Lead Auditor conducts audit assignments from planning to issuance of the final report. This includes the following responsibilities:
- 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/IGL Methodologies as per the Audit Charter- Monitor and maintain assigned Auditable Objects (AO) pertaining to the assigned areas of coverage
II – Management of a team during an assignment
- 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 on the coverage subject matter
III – IGE Continuous Improvement Program / Transversal topics
- Contribute to the on-going development of IGE’s knowledge and expertise regulatory guidelines, requirements, or expectations; attend industry or CA group events to keep abreast of relevant developments in second line compliance advisory and testing.- 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
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