Manager - Member Inspection & Audit
2 days ago
Job Purpose:
Apply professional audit principles, policies and procedures to the regular audit of members, & internal departments to ensure that potential risks are minimized, security and control guidelines are strictly adhered to and also to ensure that efficient and adequate checks and balances exist in workflow processes to achieve compliance.
Key Accountabilities:
- Audit of Members of Clearing Corporations in accordance with established rules and regulations and circular provisions of SEBI within TAT
- Establish individual objectives and plans for each team member and supervise their activities and review their work to ensure the timely completion of audit in conformance with acceptable standards.
- Recommend, through audit reports and policy, processes and procedural changes in any audited area, when justified by audited findings, as a basis for business and managerial process improvement.
- Monitor the continuing relevance of the current Internal Audit policies, procedures and standards to the current and future activities and gain approval for any necessary changes in order to ensure the ongoing validity of the audit processes as a basis for minimizing risk and preventing loss.
- Review the submissions of Half Yearly Internal Audits and take appropriate action for non-compliances reported in the submissions.
- Review audit results, evaluate the findings, lapses and weaknesses with a view to recommend improvements in the current operating practices and procedures. Communicate any finding of a serious nature to Board/ Audit committee to take immediate corrective action.
- Prepare agendas for Member Committee Meetings and conduct the meetings.
- Communicate effectively and efficiently with internal and external stakeholders
- Interacting with MIIs and/or SEBI on compliance related matters.
- Conceptualization and implementation of new Projects/ automations
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Mumbai, India NCDEX Full timeJob Purpose Apply professional audit principles, policies and procedures to the regular audit of members, & internal departments to ensure that potential risks are minimized, security and control guidelines are strictly adhered to and also to ensure that efficient and adequate checks and balances exist in work flow processes to achieve compliance.Key Result...
