Lead Auditor - Regulatory Compliance (VP)

Key Responsibilities I - Conduct of assignmentThe 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 coverageII - 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 matterIII - 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 leadership6 to 10 years of experience in audit or relevant control environmentStrong knowledge of bank and broker dealer operationsRequired : Bachelor or Masters' degree in accounting, business, finance, engineering, economics or related field (or relevant experience)Bachelor or Masters' degree in accounting, business, finance, engineering, economics or related field (or relevant experience)Preferred : Certification (e.g.CFA, CPA, CIA)...
30+ days ago