Audit compliance mutual Funds

2 months ago

Pune Maharashtra, India Arin Consultancy Full time

Accounting / Tax / Company Secretary / Audit Pune _Pune_ March 12, 2024 - March 13, 2025 Mutual Fund

**Job Overview**:

- **Office Location (Area) **Pune
- **Required Education **Qualified CA or CA Intermediate pass
- **Course Type **Full Time
- **Min Required Experience (Years) **2
- **Max Required Experience (Years) **8

First point of contact for all the regulatory audits for the Company and the Mutual Fund

**PRINCIPAL ACCOUNTABILITIES**
(Accountabilities associated with the job)
- SPOC for the following audits:

- SEBI Inspection (as and when undertaken by SEBI)
- Mutual Fund schemes audit
- AMC Financials audit
- System audit (annual)
- Cyber security and cyber resilience audit (half yearly)
- Internal audit
- Any other regulatory audit, as and when applicable
- Co-ordinate with the auditors to understand audit requirements and decide on plan of action alongwith TATs.
- Follow up for audit requirements internally to ensure timely submission.
- Review the data that is being received before submission with auditors.
- Follow up with Auditors for final audit report.

**DECISIONS**
(Key decisions taken by job holder at his/her end)
- Follow up for audit and ensure timely submission to the auditors.
- Follow up with auditors for final audit report for submission to the AMC and Trustee Board.

**CHALLENGES**
(Challenges faced on an on-going basis in carrying out the job)
- Currently, concerned teams have to deploy bandwidth to ensure regular follow up internally for submission of

audit requirements.
- This slows down the entire process as the existing bandwidth is being deployed in house keeping, follow ups

which can otherwise be utilised in business related actionables.
**INTERACTIONS**
Internal Clients
Roles you need to interact with inside the organization to enable success in your day to day work
- All concerned departments

External Clients
Roles you need to interact with outside the organization to enable success in your day to day work
- Auditors and audit firms that are appointed to undertake various audits.

(Accountabilities associated with the job)
- SPOC for the following audits:

- SEBI Inspection (as and when undertaken by SEBI)
- Mutual Fund schemes audit
- AMC Financials audit
- System audit (annual)
- Cyber security and cyber resilience audit (half yearly)
- Internal audit
- Any other regulatory audit, as and when applicable
- Co-ordinate with the auditors to understand audit requirements and decide on plan of action alongwith TATs.
- Follow up for audit requirements internally to ensure timely submission.
- Review the data that is being received before submission with auditors.
- Follow up with Auditors for final audit report.

**CHALLENGES**
(Challenges faced on an on-going basis in carrying out the job)
- Currently, concerned teams have to deploy bandwidth to ensure regular follow up internally for submission of

audit requirements.
- This slows down the entire process as the existing bandwidth is being deployed in house keeping, follow ups

which can otherwise be utilised in business related actionables.

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