Lead Auditor, Vice President – Regulatory Compliance

Job description

The Lead Auditor conducts audit assignments primarily in second-line corporate regulatory compliance, from planning through issuance of the final report. The role assesses audited activities, performs tests and control analysis, issues recommendations, maintains stakeholder communication, and typically leads a team of several auditors.

Key responsibilities

• Assess risks and validate the design and operating effectiveness of related controls.
• Review and challenge processes and controls against their purposes, mandates, and risks.
• Verify compliance with internal policies, procedures, laws, and regulations.
• Monitor audit fieldwork, adjust audit coverage to identified risks, and communicate progress to stakeholders.
• Escalate major control weaknesses and manage interviews, conclusion debriefings, management responses, and final reports.
• Ensure audit deliverables comply with IGE/IGL methodologies and the Audit Charter.
• Monitor and maintain assigned Auditable Objects.
• Define team objectives, allocate workstreams, manage resources, and assess team performance.
• Contribute to the continuous improvement of audit methodologies, processes, knowledge, and audit planning.

Qualifications and experience

• Bachelor's or master's degree in accounting, business, finance, engineering, economics, or a related field, or relevant experience.
• Six to ten years of experience in audit or a relevant control environment.
• Strong knowledge of bank and broker-dealer operations.
• Certifications such as CFA, CPA, or CIA are a plus.
• Series 99.
• Fluent English; basic French is desirable.

Competencies

• Organization, efficiency, analytical skills, and results orientation.
• Project management, communication, autonomy, leadership, accuracy, and reliability.
• Ability to defend findings, cope with stress, cooperate, and work across disciplines and cultures.

Additional requirements

The role may require business travel for periods of up to several consecutive weeks. Lead Auditors must comply with the CACIB Audit Charter and applicable regulations and must not have operational responsibility for activities under review.

About Crédit Agricole Corporate and Investment Bank

Crédit Agricole CIB is the corporate and investment bank of the Crédit Agricole group, supporting major companies and financial institutions in their development and project financing. The bank operates in a multicultural environment across more than 30 international locations and emphasizes responsible finance, collaboration, innovation, diversity, and inclusion.