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Internal Auditor

5.00 to 10.00 Years   Mumbai City   31 Jan, 2025
Anand Rathi Financial Services Limited
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBroking
Functional AreaAuditFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

    Audit Planning and Execution :
    • Develop and implement audit frameworks to comply with SEBI SOAP guidelines.
    • Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards.
    • Evaluate the organizations adherence to SEBIs regulatory requirements and best practices.
    Risk Assessment and Mitigation :
    • Perform risk assessments for all processes related to the capital market, equity trading, and related activities.
    • Identify operational inefficiencies and propose mitigation strategies to minimize risks.
    • Monitor and report on risk metrics and key performance indicators.
    Compliance with SEBI Guidelines :
    • Ensure the organizations processes align with the SEBI SOAP framework, including operational and financial risk management.
    • Stay updated with the latest SEBI regulations and amendments related to SOAP guidelines.
    • Liaise with regulatory authorities and provide reports on audit findings, as required.
    Documentation and Reporting :
    • Prepare detailed audit reports, highlighting observations, compliance gaps, and recommendations for improvement.
    • Maintain accurate and comprehensive documentation of audit procedures and outcomes.
    • Present findings and action plans to senior management and relevant stakeholders.
    Stakeholder Collaboration :
    • Work closely with functional heads, risk management teams, and compliance officers to address audit observations.
    • Train employees on SEBI SOAP guidelines and operational risk management practices.
    • Act as a point of contact for internal and external audits

Keyskills :
stock brokingsebi compliancefinance auditiso proceduressebi regulationsinternal audit

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