VP, Lead Auditor

Full Time

International Bank

Office Status: Hybrid

Position Summary:

The Lead Auditor plays a key role in executing audit assignments. This includes audit planning and scoping, overseeing audit fieldwork, maintaining close communications with key stakeholders throughout the audit, reviewing the audit team’s workpaper documentation, and draft audit findings, recommendations and final report. The Lead Auditor is responsible for the quality delivery of audit work in adherence to the audit standards and methodology. Under the supervision of a Local Head of Audit, a Regional Supervisor or a Global Audit Manager, the Lead Auditor will supervise a group of auditors throughout the audit to ensure timely completion of all stages of the audit work, and summarize a comprehensive debriefing presentation to management to support the audit conclusions.

Key Responsibilities:

The Lead Auditor is in charge of conducting assignments and managing the team during the assignments. The assignments may be local, regional or global.

I – Conduct of assignment

The Lead Auditor conducts audit assignments from planning, scoping, fieldwork to final reporting, which includes the following:

  • To assess the risks of the audited activities (credit risks, financial risks, non-compliance risks, operational risks, etc.) and to identify the related controls and their criticality
  • To review and challenge the design of the existing processes and controls based on review and analysis of information obtained
  • To assess the compliance of the audited unit’s adherence with internal policies and procedures, and the applicable laws and regulations
  • To monitor the fieldwork carried out by the team by focusing on the key risks and controls identified
  • To communicate openly with the Global Audit Manager / Head of Local Audit/ Regional Supervisor on audit progress based on the agreed timelines
  • To follow the internal escalation policy of the Bank and provide timely escalation to the Global Audit Manager / Regional Supervisor / Head of Local Audit on any major control weaknesses (regulatory, reputational, operational or financial risks.)
  • To organize interviews, debriefing meetings of conclusions with senior management in the audited areas
  • To review management response to the draft report and prepare counter-response if needed
  • To produce the final deliverables following methodologies determined under the Audit Charter

II – Management of a team during an assignment

  • Define objectives and perform end of assignment assessment for audit team members engaged in the assignment
  • Contribute to develop the team’s knowledge and skills
  • Prepare assignment planning and allocate work streams to team members and manage projects/tasks/staff and budget resources efficiently
  • Maintain a collaborative and productive relationship within the team and close coordination throughout the International Network and with auditees
  • Contribute to the team’s knowledge development through on-the-job training for team members on Audit methodology, governance, regulation, or new topics upon request from Global Audit Manager / Regional Supervisor / Head of Local Audit

III – Continuous Improvement Program / Transversal topics

The Lead Auditor, who is expected to contribute to the continuous improvement of methodologies and processes, can be requested to:

  • Contribute to the creation or update of audit methodologies and audit processes/guides on specific topics
  • Build and share knowledge (e.g. through contributing to SynerGIA, delivering training or taking part in various Methods and Support workstreams or assignments)
  • Update Auditable Items scorecards in liaison with the relevant Global Audit Manager
  • Share any relevant information with the Knowledge Community leaders and relevant Audit Partners
  • Engage in one or more knowledge communities
  • Manage resources and budget of audit assignment to achieve the objectives of the audit plan
  • Contribute to the preparation of the audit plan, in coordination with the Audit Manager in charge

Requirements:

  • CAMS preferred / not required
  • Bachelor or Master’s Degree in accounting, business, finance, engineering or related field
  • 4 to 8 years of experience in audit
  • Audit experience in one or more of the following fields

o     BSA/AML Compliance

o     Corporate/regulatory Compliance

o     Financial/Operational auditing

o     External Auditing

o     Information systems auditing

  • Organization, prioritization and multi-tasking
  • Project management skills (planning and execution)
  • Verbal and written communication
  • Interpersonal skills
  • Autonomy and Leadership
  • Ability to meet competing deadlines and work under stress
  • Accountable, dedicated and reliable
  • Strong analytical skills
  • Fluent in English
  • Knowledge of the principles, practices and techniques of auditing
  • Proven skills/knowledge on capital markets, financing or control and support functions
  • Knowledge of organization and key activities of the Bank
  • Ability to gather, analyze data, and prepare and present with clear messages
  • Ability to lead a group or work as an individual to accomplish shared goals
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