Job Description
We’re Hiring: Lead Internal Auditor
Are you a seasoned auditing professional with a keen eye for detail and a passion for governance and risk management? We’re looking for a Lead Internal Auditor to join our team and drive internal control and compliance excellence across the organization.
📍 Location: Kanjurmarg, Mumbai
Role and Responsibilities:-
Audit Deliverables
• Auditor executes internal audits as per the annual audit plan, evaluates the adequacy and effectiveness of internal controls and verifies compliance with all applicable laws and regulations.
• Executing audit fieldwork in line with the agreed audit approach e.g., documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with standards.
• Performs any special investigations from time to time.
• Assists in agreeing action plans with stakeholders thereby helping the Lead develop robust remediation plans.
• Assist the Lead in monitoring implementation of remedial action plans within agreed timelines.
• Completes all assigned audit work in line with agreed budgets.
• Facilitates execution of the annual internal audit plan by ALL external internal auditors within timelines.
• Liaise with all stakeholders to identify key strategic, regulatory, and operational risk areas. Implementation of tools to pre-empt areas within the organisation prone to fraud, RM misconduct or misselling or any other high-risk areas.
Stakeholder Management
• Communicating openly with stakeholders; keeping them informed of potential issues and escalate problems/delays accordingly and presenting audit findings comprehensively and professionally.
• Proactively developing and maintaining professional working relationships with colleagues
• Promote the highest standards of ethics and standards across the organization based on the principles of integrity, objectivity, competence and confidentiality.
Career Development
• Taking ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution.
• Proactively keeping abreast of pertinent industry, regulatory and business practices.
Key Requirements:
• Qualified CA's with 5 yrs. exp.
• Working Knowledge of some commonly used data analytics tools i.e., ACL Analytics, Tableau, Power BI etc.
• Audit experience with stockbrokers / capital markets / audit firms.
• Business knowledge and an understanding of the risks and regulatory requirements for Stockbrokers, Capital Markets, and Investment Advisory;
Are you a seasoned auditing professional with a keen eye for detail and a passion for governance and risk management? We’re looking for a Lead Internal Auditor to join our team and drive internal control and compliance excellence across the organization.
📍 Location: Kanjurmarg, Mumbai
Role and Responsibilities:-
Audit Deliverables
• Auditor executes internal audits as per the annual audit plan, evaluates the adequacy and effectiveness of internal controls and verifies compliance with all applicable laws and regulations.
• Executing audit fieldwork in line with the agreed audit approach e.g., documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with standards.
• Performs any special investigations from time to time.
• Assists in agreeing action plans with stakeholders thereby helping the Lead develop robust remediation plans.
• Assist the Lead in monitoring implementation of remedial action plans within agreed timelines.
• Completes all assigned audit work in line with agreed budgets.
• Facilitates execution of the annual internal audit plan by ALL external internal auditors within timelines.
• Liaise with all stakeholders to identify key strategic, regulatory, and operational risk areas. Implementation of tools to pre-empt areas within the organisation prone to fraud, RM misconduct or misselling or any other high-risk areas.
Stakeholder Management
• Communicating openly with stakeholders; keeping them informed of potential issues and escalate problems/delays accordingly and presenting audit findings comprehensively and professionally.
• Proactively developing and maintaining professional working relationships with colleagues
• Promote the highest standards of ethics and standards across the organization based on the principles of integrity, objectivity, competence and confidentiality.
Career Development
• Taking ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution.
• Proactively keeping abreast of pertinent industry, regulatory and business practices.
Key Requirements:
• Qualified CA's with 5 yrs. exp.
• Working Knowledge of some commonly used data analytics tools i.e., ACL Analytics, Tableau, Power BI etc.
• Audit experience with stockbrokers / capital markets / audit firms.
• Business knowledge and an understanding of the risks and regulatory requirements for Stockbrokers, Capital Markets, and Investment Advisory;
💡 Quick Summary
Seeking a career-building opportunity? The Lead Auditor- Business Audits position is now open for candidates interested in the Bank Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
