Audit Risk Specialist

2 weeks ago

Mumbai, Maharashtra, India beBeeRiskManagement Full time ₹ 1,50,00,000 - ₹ 2,00,00,000

Key Responsibilities:

Audit Planning and Development:

Develop, implement and maintain robust audit frameworks to ensure compliance with relevant regulatory requirements.

Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards across capital markets and related activities.

Evaluate the organization's adherence to industry best practices and regulatory requirements.

Risk Assessment and Mitigation:

Perform comprehensive risk assessments for all relevant business processes.

Identify operational inefficiencies and recommend effective mitigation strategies.

Monitor and report on key risk metrics and performance indicators.

Compliance and Regulatory Requirements:

Ensure all processes and controls are aligned with SEBI SOAP framework requirements.

Stay up-to-date with regulatory changes and amendments impacting operational and financial risk management.

Liaise with regulatory authorities and provide audit reports and compliance updates as required.

Documentation and Reporting:

Prepare detailed audit reports summarizing observations, compliance gaps, and actionable recommendations.

Maintain accurate and comprehensive documentation of audit procedures and outcomes.

Present findings, risk insights, and action plans to senior management and relevant stakeholders.

Stakeholder Collaboration:

Work closely with functional heads, risk management teams, and compliance officers to resolve audit observations and strengthen controls.

Conduct training sessions on SEBI SOAP guidelines and operational risk management.

Serve as a key point of contact for internal and external audits.

Qualifications and Skills:

Required:

• Bachelors or Masters degree in Finance, Accounting, Business Administration, or a related field.

• 5+ years of experience in internal audit, compliance, or risk management within the capital markets or financial services industry.

• Strong knowledge of SEBI SOAP guidelines, capital markets operations, and equity trading practices.

• Solid understanding of risk assessment methodologies, internal control frameworks, and regulatory reporting.

• Excellent skills in analytical thinking, problem-solving, and stakeholder communication.

Preferred:

• Professional certifications such as CIA, CISA, CA, or equivalent.

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