Internal Audit Function Professional

4 days ago


Mumbai, Maharashtra, India ACME SERVICES PRIVATE LIMITED Full time ₹ 20,00,000 - ₹ 25,00,000 per year

Broking Audits:

  • Perform audits on broking operations to verify adherence to compliance and regulatory requirements.
  • Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
  • Perform detailed audits of broking activities, including trading practices, client transactions, and account management.
  • Evaluate the effectiveness of internal controls and risk management processes related to broking operations.
  • Ensure that broking operations adhere to relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements.
  • Monitor changes in regulatory requirements and update audit practices as needed.
  • Analyze transaction records, trade confirmations, and client communications to identify discrepancies, unauthorized activities, or compliance issues.
  • Verify the accuracy and integrity of financial reporting related to broking activities.
  • Assess the design and effectiveness of internal controls implemented in broking processes.
  • Identify control weaknesses or gaps and recommend improvements to enhance operational efficiency and compliance.

Alternative Investment Funds Audits:

  • Conduct detailed review and audits of compliance with the SEBI AIF Regulations as well as compliance with the Fund Documents.

Investment Banking Audits:

  • Conduct comprehensive audits of investment banking activities, including underwriting and advisory services.
  • Evaluate the effectiveness of internal controls and risk management processes.
  • Ensure compliance with relevant regulations and industry standards.

Research Analysts Audits:

  • Review the methodologies and practices used by research analysts to ensure compliance with ethical standards and regulatory requirements.
  • Assess the accuracy and integrity of research reports and recommendations.
  • Examine research reports and recommendations for completeness, accuracy, and adherence to ethical guidelines.
  • Ensure that research findings are supported by adequate evidence and analysis.
  • Verify that research activities comply with relevant regulations, industry standards, and internal policies.
  • Monitor changes in regulations and ensure that research practices are updated accordingly.
  • Evaluate the effectiveness of internal controls related to research activities.
  • Identify any gaps or weaknesses in controls and recommend improvements.

Non- Banking Financial Companies:

  • Conduct Statutory, Internal, Compliance and Risk Based Audits of Non-Banking financial services companies.
  • The role further would involve conducting process reviews and testing of Internal Financial Controls of the NBFCs. Secretarial Compliance Audits:
  • Examine corporate governance practices and secretarial compliance with statutory and regulatory requirements.
  • Review board meeting minutes, statutory filings, and other corporate documents to ensure accuracy and completeness.
  • Prepare detailed audit reports outlining findings, recommendations, and areas for improvement.
  • Maintain comprehensive documentation of audit procedures and results.

HR & Admin Audits:

  • Conduct comprehensive audits of HR processes, including recruitment, employee onboarding, performance management, payroll, and benefits administration.
  • Assess compliance with labor laws, company policies, and employment regulations.
  • Review employee records for accuracy and completeness, and ensure adherence to data protection regulations.
  • Evaluate administrative processes, including office management, procurement, and expense management.
  • Review compliance with internal controls and organizational policies related to administrative functions.
  • Identify opportunities for improving efficiency and effectiveness in administrative operations.
  • Assess the design and operational effectiveness of internal controls within HR and administrative functions.
  • Identify control weaknesses, compliance issues, and potential risks, and recommend corrective actions.
  • Ensure HR and administrative practices comply with relevant regulations, such as labor laws, tax regulations, and company policies.
  • Stay updated on changes in regulations and ensure that internal practices are aligned with current requirements.


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