Internal Audit - Mumbai - confidential

    confidential
    confidential Mumbai

    3 days ago

    Full time
    Description

    Key Responsibilities:

    • Internal Audit & Control Reviews:
    • Conduct periodic internal audits of depository operations, systems, and procedures to evaluate the effectiveness of internal controls.
    • Assess the adequacy of risk management practices and ensure they align with industry standards and regulatory requirements.
    • Identify discrepancies or weaknesses in the depository processes and provide actionable recommendations to mitigate risk.
    • Regulatory Compliance:
    • Ensure that depository activities comply with relevant financial regulations, including SEBI, RBI, and other applicable laws.
    • Review and monitor compliance with internal policies, industry standards, and legal requirements concerning depository services.
    • Prepare reports on regulatory compliance and liaise with the regulatory authorities to ensure timely resolution of compliance issues.
    • Risk Assessment & Mitigation:
    • Perform risk-based assessments to identify potential operational, financial, and security risks in the depository functions.
    • Recommend and assist in the implementation of risk mitigation strategies to improve operational efficiency and prevent potential risks.
    • Review and ensure the depository system's integrity, security, and data protection measures are in place.
    • Process Optimization:
    • Analyze and evaluate current depository processes and workflows to identify inefficiencies or opportunities for improvement.
    • Assist in streamlining processes, ensuring accuracy, efficiency, and compliance with best practices.
    • Collaborate with internal teams to implement improvements and enhance the overall effectiveness of the depository operations.
    • Audit Documentation & Reporting:
    • Prepare detailed audit reports documenting findings, risk analysis, and recommendations for improvement.
    • Present audit findings and suggested improvements to senior management and other relevant stakeholders.
    • Maintain audit records and ensure proper documentation of audit processes and results for future reference and regulatory purposes.
    • Monitoring & Follow-Up:
    • Continuously monitor the implementation of audit recommendations and improvements within depository operations.
    • Follow up on previously identified audit issues to ensure corrective actions are taken promptly.
    • Conduct regular internal reviews to ensure corrective measures have been implemented effectively and are functioning as intended.
    • Collaboration with Internal Teams:
    • Work closely with other departments, including operations, compliance, IT, and finance, to ensure seamless auditing and risk management procedures.
    • Provide internal stakeholders with insights and guidance on best practices for managing and mitigating depository-related risks.
    • Assist in training staff on regulatory compliance and internal audit processes to enhance awareness and operational standards.
    • Ad Hoc Audits & Investigations:
    • Perform special audits or investigations when requested by senior management or in response to identified concerns.
    • Assess the potential impact of identified issues and work with relevant teams to investigate and resolve them promptly.

    Required Qualifications:

    • Bachelor's degree in Finance, Accounting, Business Administration, or a related field.
    • Proven experience in internal auditing, preferably in the depository, financial services, or banking sector.
    • Strong understanding of the regulatory environment for depository operations, including knowledge of SEBI, RBI guidelines, and other relevant regulations.
    • Familiarity with internal audit methodologies, risk assessment tools, and audit software (e.g., ACL, IDEA, TeamMate).
    • Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint), with strong data analysis skills.
    • Excellent attention to detail, with the ability to identify discrepancies, inconsistencies, and process inefficiencies.

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