Internal Auditor Leader for Securities Markets

2 days ago


Mumbai, Maharashtra, India Leading Securities Broking Full time
About This Role

We are seeking an experienced Internal Auditor to lead our team in Mumbai. As a key member of our organization, you will be responsible for ensuring the effectiveness and efficiency of our internal controls.

With at least 5-6 years of experience in BFSI, you will have a deep understanding of the risks and regulatory requirements for stockbrokers, capital markets, and investment advisory.

Your expertise will help us identify areas for improvement and develop robust remediation plans to address any issues.

Key Responsibilities
  • Lead internal audits as per the annual audit plan, evaluating the adequacy and effectiveness of internal controls relating to risks within business areas.
  • Evaluate compliance with all applicable laws and regulations, documenting Activity Flows, identifying key risks, testing key controls, and verifying their proper design and operation.
  • Review special investigations from time to time and lead branch inspection reviews, discussing observations with CBOs and finalizing inspection results.
  • Provide expert opinion on action plans provided by stakeholders, helping them develop robust remediation plans.
  • Draft audit reports including findings and monitor implementation of remedial action plans within agreed timelines.
Requirements
  • CA with at least 6+ years' of relevant experience in Stock Broking, Securities Markets, and Investment Advisory.
  • Related certifications such as CFA, FRM, CISA preferred.
  • Working knowledge of commonly used data analytics tools like ACL Analytics, Tableau, Power BI.
About Us

We are Leading Securities Broking, a leading player in the securities broking industry. Our team is dedicated to providing exceptional services to our clients, and we are looking for talented individuals who share our vision.

We offer a competitive salary range of ₹45-50 lakhs per annum, making this a great opportunity for career growth and development.



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