Head Internal Audit

4 weeks ago

Mumbai, India HDFC securities Full time

Job Purpose:-

1. To manage the Internal Audit, surveillance and investigate functions for HDFC securities Ltd.

2. To ensure that the Internal audit Function provides an independent assessment of the

adequacy of internal systems and controls, including the systems for appropriate

identification and evaluation of risk and for ensuring compliance with all applicable laws and

regulations to the Company

3. To assist the external auditors to develop annual audit plan based on Risk perceived across

the functions of the organization.

4. To Carry out investigation of errors and frauds reported including those called by senior

managerial staff

5. To Carry-out surveillance of calls recorded by dealing team at branches on the trade orders

executed at branches of the Company

6. To Provide adequate support to external certified auditors (Internal and concurrent Audits) in

timely completion of regulatory internal audits and their certification audits for exchanges

and depositories

7. To support statutory auditors in gathering information from internal audits

8. To review SOPs of new process developed by various departments and product team and

approved considering organizational framework

9. To Supervise Digi-Center Quality Control Team in quality assurance audit.

10. To present to approve the regulatory audit reports from the Audit Committee of the Board of

the Company and seek guidance, if any required for the next period audits. Review, ACB

minutes of Audit related areas before sign off.


Principal Accountabilities/Primary Responsibilities:-

Internal Audit and Continuous Improvement :

  • Design, implement, test and modify controls in specific systems of the organisation, to

provide assurance of operational and technical efficiency at the corporate level

  • Identify instances of over and under control and provide management with a clear

articulation of residual risks where existing controls are inadequate

  • Keep abreast of regulatory pronouncements, new audit regulations/trends and appropriate

use of technology in audit.

  • Discuss updates of new regulations with HODs – Risk &

Compliance and Legal to mitigate risk of non-compliance

  • Arrange to appoint a credible and market reputed audit firm to the oganisation


Risk Management and Compliance:

  • Provide an objective and evidence based annual opinion on the adequacy and effectiveness of

all aspects of governance, risk management and internal control to facilitate the drafting the

annual governance report.

  • Promote the highest standards of ethics and standards across the organization based on the

principles of integrity, objectivity, competence and confidentiality.

  • Review the adequacy of key corporate arrangements including such as risk strategy, risk register, anti-fraud and corruption strategy, corporate plan.
  • Review significant partnership arrangements and major services provided by third parties and the controls in place to promote and protect HSL’s interests. Assess whether lines of responsibility and assurance are clear.
  • Review enhancement and modifications carried in the software after the same has been approved by users, Central Assessing Board but before putting it on live production scenario


Reporting :

  • Prepare and present internal audit reports for consideration of the audit committee and the board.
  • Ensure timely completion of reports required by regulators and provide logistics for data and internal reports to auditors to complete assignments in/before time.
  • Report on internal control issues and the implementation of the internal audit plan to senior management and the Board.
  • Provide advice on proposed developments such as major new systems and proposed initiatives to help ensure risks are properly identified and evaluated and appropriate controls built in.
  • Establish logical and systematic methods of identifying, analyzing, evaluating, treating, monitoring and communicating the risks associated with activities, functions or processes in a way that will enable the organization to minimize losses and maximize opportunities. Leadership:
  • Provide leadership to the department staff and Supervise and manage their performance and development in line with the Organization’s goals, objectives, policies and regulations. § Develop a departmental annual work plan and financial budget and monitor their implementation in line with the Business plan.
  • Be a part of annual financial budgeting group in order to enhance audit scope in the forthcoming Period . Participate in monthly business review meetings to assess the direction taken by the Business Group and perceived risk in conducting the business to have an assurance through audit.


Educational Qualification Required:-

CA and CISA /DISA Certified Preferred

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