Manager - Internal Audit (Stockbroking)

3 weeks ago


Bengaluru, Karnataka, India PhonePe Full time
Job Description

Key Deliverables

- Lead risk-based internal audits for stock broking, DP operations, trading, and client onboarding
- Ensure compliance with SEBI, NSE, BSE, NSDL, and CDSL capital market regulations
- Prepare and review comprehensive audit documentation including RCMs, reports, and flowcharts
- Identify root causes and recommend corrective actions using structured methodologies like the 5 Whys

Role Responsibilities

- Facilitate discussions with stakeholders on audit findings and remediation plans
- Manage end-to-end audit lifecycle including scoping, execution, reporting, and follow-ups
- Lead audit teams, plan resources, and manage audit budgets
- Provide insights through quantitative analysis and drive continuous process improvement

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