CA CIB Americas

Audit / Transaction / Consulting



12 September United States, NEW YORK Perm


Auditors perform, under the supervision of the Lead Auditor, a preliminary assessment of the audited activity and then conduct independently the tests, analysis, and controls planned.
They contribute to draft the debriefing presentation to management and the final report.
They are also periodically responsible for monitoring the proper application of the recommended corrective actions.

Key Responsibilities

As a member of an audit team,

- conduct independently the fieldwork as assigned by the Lead Auditor in accordance with applicable standards and within established timeframes, including:

o A preliminary assessment of the audited activity highlighting the related risks and controls

o Tests, analysis and controls planned during the preliminary assessment.

- Document within clear and precise audit working papers the work performed in accordance with Audit standards.

- Identify and report audit findings, which consider the root causes for issues raised, develop practical solutions and value added recommendations and conclude as to the effectiveness and efficiency of control and business practices.

- Present the conclusions to Audit management and then to the management of the audited unit and draft the debriefing presentation and the final report on the audited processes.

- Monitor the proper application of the recommended corrective actions.

- Keep superiors informed of status the audit mission, factors potentially affecting its execution, and other information relevant to the assigned audit and the associate risk and control environment

Ability to handle additional responsibilities as required.

Management and Reporting

- Report to the Americas Audit supervisor


- Internal Auditor shall have full, free and unrestricted access to any and all the organization's records, physical properties and personnel relevant to any function under review.

- Travel may be required up to 15%

- Internal Auditors shall have no direct operational responsibility or authority over any of the activities under review.
They shall not develop systems or procedures, prepare records or engage in any activity, which belongs to the auditable perimeter.

Qualifications/Education Required:
Post baccalaureate degree

Experience Required:
0-1 year experience in audit

Specialist Training Required:

Approved Person Registration:

Competencies Required:
Ability to communicate clearly and easily, including in writing

Ability to analyze and summarize

Rigor and sense of organization

Apprehension of results and priorities


Skills & Knowledge Requirements:
Knowledge and understanding of the risks generated by banking / securities activities