What are the responsibilities and job description for the Lead Auditor, Regulatory Compliance position at CA CIB Americas?
The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report.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 Local Head of Audit or an 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.He / she generally, but not exclusively, leads audit assignments that have a focus corporate compliance and regulatory requirements.He / she provides support to other IGE Managers for assignments where regulatory compliance expertise is needed.He / she monitors and validates the implementation of recommended corrective actions identified in audit or regulatory coverage.Key Responsibilities Conti.Document, communicate, and memorialize audit deliverables are in adherence to the IGE / IGL Methodologies as per the Audit CharterMonitor and maintain assigned Auditable Objects (AO) pertaining to the assigned areas of coverageIII - ManagementDefine objectives and perform end of assignment assessment for the team allocated during an assignmentPrepare 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 The Lead Auditor contributes to the continuous improvement of IGE methodologies and processes.As part of his / her responsibilities, he / she can be requested to : - 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 MethodsEssential : Bachelor or Masters' degree in accounting, business, finance, engineering, economics or related field (or relevant experience)Desirable : Certification (e.g.CFA, CPA, CIA)...
