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Lead Internal Auditor – Business Audits

2 months ago

Mumbai, India HDFC securities Full time

Audit Deliverables

Lead auditor (LA) leads internal audits as per the annual audit plan, evaluates the adequacy and effectiveness of internal controls relating to risks within those business areas and verifies compliance with all applicable laws and regulations.

Planning and 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.

LA reviews special investigations from time to time.

LA leads the branch inspection reviews, discusses observations with CBOs and finalizes the inspection results.

Reviews and provides expert opinion on action plans provided by stakeholders, helping them develop robust remediation plans.

LA drafts audit reports including findings and monitors 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.


Stakeholder Management

  1. Communicating openly with stakeholders; keeping them informed of potential issues and escalate problems/delays accordingly and presenting audit findings comprehensively and professionally.
  2. Proactively developing and maintaining professional working relationships with colleagues
  3. Promote the highest standards of ethics and standards across the organization based on the principles of integrity, objectivity, competence and confidentiality.

Leadership

  1. Act as a role model to new employees, providing help and support for early integration and assimilation of the new environment;
  2. Evaluate team’s performance and development as part of the annual appraisal process;


Career Development

  1. Taking ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution.
  2. Proactively keeping abreast of pertinent industry, regulatory and business practices.


Requisite Skills and Experience

  1. Audit experience with stockbrokers / BFSI sector / audit firms.
  2. Business knowledge and an understanding of the risks and regulatory requirements for Stockbrokers, Capital Markets, and Investment Advisory;
  3. Effective verbal, written and negotiation skills;
  4. Effective project management skills, influencing and relationship management skills