9 Audit Reviews Jobs

The Assistant Manager Governance, Risk & Compliance (GRC) role based in Gurgaon with a 5-day working schedule in the office requires a candidate with 4-9 years of relevant experience. As a CA qualified professional, you will play a key role in internal controls, risk management, IFC testing, and audit reviews, demonstrating proficiency in Ind AS and IFRS. This position focuses on internal audit & compliance responsibilities, excluding statutory audit or US GAAP exposure. In this role, you will be responsible for planning and executing financial, operational, and compliance reviews, evaluating risk and control efficiency across various processes, conducting process walkthroughs, and designing internal controls. You will lead IFC testing, control validations, and audit reporting, collaborating with cross-functional teams and external IA partners. Additionally, you will contribute to enhancing the control environment by supporting the implementation of tools while being open to travel up to 20-30% to Tier-1 & Tier-2 cities. The ideal candidate must possess a CA qualification, a strong understanding of Ind AS, IFRS, and internal controls, along with experience in internal audit/GRC functions (excluding statutory audit). Adaptability to fast-paced environments, handling multiple priorities, and familiarity with SAP or other ERPs would be advantageous for this role.,

You will be responsible for executing end-to-end preparations of valuations of illiquid investments and corporate debt (debt valuation) within the portfolio valuations space. Your role will also involve executing end-to-end engagements, performing audit reviews, and appraising third-party valuation reports. It will be crucial for you to ensure high-quality and timely delivery of projects. Additionally, you will review the work of and guide team members while building strong professional relationships with onshore teams through project work. To qualify for this position, you must hold educational qualifications such as CA, CFA, or MBA with a specialization in Finance & Investment Management. The ideal candidate should have 3 to 5 years of working experience in a portfolio valuations role specifically focusing on debt valuation.,

You will be responsible for executing end-to-end preparation of valuations of illiquid investments (equity and debt valuation) within the portfolio valuations space. This includes engaging in audit reviews and appraising third-party valuation reports. Your role will require you to ensure the high-quality and timely delivery of projects by yourself and your team members. Additionally, you will be coaching a team of business valuation professionals and managing workflow, delivery, team utilization, serving as the KGS point of contact for the onshore Geo(s). As part of your responsibilities, you will also be involved in recruitment, learning and development, and performance management activities. Building a strong brand equity with onshore stakeholders will be crucial to your role. Furthermore, your contribution to at least one CF & Cap Sols team-level task force will be expected.,

We are looking for an experienced Compliance Specialist - Monitoring for execution of various compliance audits as per the annual audit plan and Procedure. You will be involved in the compliance audits, and will play an important role in understanding, evaluating various controls and processes in relation to compliance aspects of the key compliance polices.This position will work closely with other compliance team members and support initiatives from various subject matter experts and stakeholders inother departments. Roles & Responsibilities You will be responsible for executing the compliance audits and reviews as per the compliance audit annual plan. You will be responsible for participating in the training, communication, and sensitization of the aspects of Code of Business Conduct and Ethics (COBE) and other key compliance policies You will be responsible for conducting in-depth root cause analysis, identification of processes and controls which are inoperative and suggest corrective and preventive action You will be responsible for preparing and presenting of key findings for senior management Qualifications Educational qualification: Associated Charted Accountant Minimum work experience: 3-6 years in a compliance-related role, with a focus on compliance audits, in a pharmaceutical organisation. Skills & attributes: Technical Skills Demonstrated understanding of the general pharmaceutical business, showcasing knowledge of industry dynamics, trends, and challenges. Strong proficiency in conducting audit reviews and gathering evidence. In-depth knowledge of relevant laws, regulations, and industry standards. Proven track record in corporate compliance and implementing effective compliance programs. Behavioural skills Strong written and oral communication abilities, facilitating effective expression of ideas. Demonstrates analytical thinking, enabling effective problem-solving and decision-making. Ability to multitask and manage a variety of business requirements simultaneously. Approaches tasks with a positive can-do attitude, demonstrating optimism and a solution-oriented mind set. Effective people management skills with colleagues and clients, fostering positive relationships. Competence in operating effectively within a diverse and complex matrix organization.

You will be responsible for executing the end-to-end preparation of valuations of illiquid investments/corporate debt (debt valuation) within the portfolio valuations space. This includes performing audit reviews and appraising third-party valuation reports. Your role will involve ensuring high-quality and timely project delivery by yourself and team members. You will also be coaching a team of portfolio valuation professionals. In addition, you will be managing workflow, delivery, and team utilization, acting as the KGS point of contact for onshore Geo(s). Your responsibilities will also include involvement in recruitment, learning and development, performance management, and building strong brand equity with onshore stakeholders. Furthermore, you will be expected to contribute to at least one CF & Cap Sols team level task force. Overall, your role will be critical in ensuring accurate valuations of illiquid investments and corporate debt, while also effectively managing team performance and stakeholder relationships.,

The Securities & Derivatives Intmd Analyst position is an intermediate level role that involves processing orders and transactions from trading desks and branch offices in coordination with the Operations - Transaction Services team. The main objective of this position is to facilitate the clearance, settlement, and investigation of client securities and derivatives transactions. Responsibilities: - Experience in non-financial regulatory and tax reporting with subject matter expertise - Strong understanding of OTC derivatives and investment products - Proficiency in spoken and written English, with excellent presentation and communication skills - Knowledge of operational risks and control frameworks - Ability to utilize data analytics and QA tools, experience with automated QA testing frameworks is a plus - Experience in writing disclosures to Regulators and preparing monitoring KPIs & KRIs for regulatory and tax reporting - Participation in audit reviews, regulatory & tax reporting governance forums at local and/or global levels - Critical thinking skills and logical decision-making abilities - Leading discussions on control/risks with stakeholders and partners - Resolving issues related to global regulatory and tax reporting - Driving optimization of global process and control environment - Processing securities transactions, providing analytic input for traders, and aiding in the review of derivative products - Providing recommendations for process improvements using data analysis tools and professional judgment - Resolving settlement-related issues and escalating complex problems as needed - Participating in project implementations, including new products, services, and platform upgrades - Identifying policy gaps and formulating new policies to streamline trade flow processes - Monitoring and providing solutions to errors to minimize risks - Offering informal guidance and on-the-job training to new team members - Assessing risks in business decisions and ensuring compliance with laws, rules, and regulations Qualifications: - 2-5 years of relevant experience - Understanding of Treasury products, accounting, and regulatory policies - Clear and concise written and verbal communication skills Education: - Bachelors Degree/University degree or equivalent experience in Business, Accounting, or Finance *This job description offers a comprehensive overview of the role's responsibilities and requirements. Additional job-related duties may be assigned as needed.*,

The role of Risk Management Group at our organization involves collaborating closely with our business partners to effectively manage the bank's risk exposure. This is achieved by striking a balance between maximizing returns and maintaining an acceptable risk profile. As a team, we work alongside origination teams to offer financing, investments, and hedging opportunities to our customers. Investing significantly in our people and infrastructure is a key aspect of managing risk effectively and ensuring the success of our business. As a Risk Management professional, your primary responsibility will be to oversee the risk management process and frameworks within the bank. This includes facilitating the implementation and continuous monitoring of adherence to the DBS Group Operational Risk Management (ORM) Framework in the Business / Support units (BU/SU). By identifying, assessing, mitigating, measuring, monitoring, and reporting key operational risks, you will play a crucial role in maintaining a robust risk management system. Key responsibilities include maintaining strong relationships with Unit Operational Risk Managers (UORMs) of the BU/SU, highlighting potential operational risk and control issues to Risk Management Group (RMG) and line management of BU/SU, and contributing to departmental initiatives aimed at enhancing operational risk management through Data Analytics. Additionally, ensuring satisfactory ratings in audit reviews and compliance with regulatory requirements will be paramount. In your role, you will provide guidance, advice, and training to Business / Support units (BU/SU) on operational risk matters, including risk management processes that should be adopted by the units. Collaborating with relevant UORMs and facilitating the use of operational risk tools and methodologies such as Risk Event Reporting, Control Self-Assessment (CSA), and Key Risk Indicators (KRI) will be essential to identify, assess, and mitigate key operational risks effectively. Furthermore, you will liaise with partners in control and support functions like Credit, Compliance, and Legal to address operational risk issues across end-to-end processes. Managing and maintaining the Operational Risk Management System (ORMS) for regular risk reporting and analysis, conducting reviews on operational risk metrics, and assessing the adequacy of mitigants to identified risks will also be part of your duties. The ideal candidate for this role should hold an MBA/CA/CS qualification and have a minimum of 15-20 years of relevant experience in managing Operational Risk Management (ORM). This full-time position is based in Maharashtra, Mumbai, India, and offers a rewarding opportunity to contribute to the risk management function of our organization.,

As a Cyber Assurance Assistant Vice President (AVP) at Barclays in Pune, you will play a crucial role in partnering with the bank to provide independent assurance on control processes and offer advice on enhancements to ensure the efficiency and effectiveness of the bank's internal controls framework. Your responsibilities will include collaborating across the bank to maintain a robust control environment by conducting ad-hoc assessments and testing the design and operational effectiveness of internal controls aligned with the bank's policies and standards. You will develop detailed test plans and procedures to identify weaknesses in internal controls and other initiatives within the bank's control framework to mitigate potential risks and issues that could disrupt bank operations, lead to losses, or impact reputation. In this role, you will communicate key findings and observations to relevant stakeholders and business units to enhance overall control efficiency and provide corrective actions to senior managers. You will work closely with other control professionals to address complex issues and ensure consistent testing methodologies across the bank. Additionally, you will establish a knowledge center containing detailed documentation of control assessments, testing results, findings, and distribute material on internal controls to train and upskill colleagues within the bank. As an Assistant Vice President, you are expected to advise and influence decision making, contribute to policy development, and take responsibility for operational effectiveness. You will lead a team in performing complex tasks, set objectives, coach employees, appraise performance, and determine reward outcomes. If the position involves leadership responsibilities, you will demonstrate a clear set of leadership behaviors to create an environment for colleagues to excel. Your role may involve collaborating on assignments, guiding team members, identifying new directions for projects, and consulting on complex issues. You will identify ways to mitigate risks, develop new policies and procedures to support the control and governance agenda, and take ownership of managing risk and strengthening controls related to your work. Furthermore, you will engage in complex data analysis, communicate complex information effectively, and influence stakeholders to achieve desired outcomes. It is essential for all colleagues to uphold the Barclays Values of Respect, Integrity, Service, Excellence, and Stewardship, as well as demonstrate the Barclays Mindset of Empower, Challenge, and Drive in their behavior.,

Role & responsibilities a. To conduct the Risk based internal audit for the areas assigned. b. To take department level initiatives for improving the departments functionality and way of doing things by the Internal Audit department. c. To ensure the timely completion of the work assigned. d. To discuss the observations/ inputs identified during the audit with the respective stakeholder in a timely manner. e. To manage the team and ensuring the efficiency and effective working of the team to achieve the work assigned. f. To ensure the quality of Audit and documentation relating to the same. g. To prepare and review of RCMs. h. To prepare of internal audit reports for MD reviews. i. To prepare of the quarterly report for the ACB. j. To conduct internal audits of various Business functions like credit, compliance, risk, treasury, etc. k. To assign required trainings to the Internal Audit team on topics ranging from building RCMs and Audit reports and also for procedures to be performed for conducting Audits. l. To co-ordinate with various stakeholders/ HODs to ensure smooth functioning of the Internal Audit team and ensuring any challenges are dealt with pro-actively. j. To perform thematic reviews of certain processes in order to evaluate system gaps, providing assurance on certain aspects within a particular business process on need basis.