Internal Auditor

Position : Internal Audit Manager

Experience : 6+ Years

Location : Kolkata

Qualification : CA/MBA-Finance

Key responsibility

• Prepared audit checklists and issued half-yearly audit circulars.
• Reviewed Internal Audit Reports and escalated violations for disciplinary action.
• Drafted meeting agendas, minutes, and action letters.
• Coordinated penalty debits with the accounts team and addressed member queries.

Data Analysis & Reporting

• Collected and analyzed data from other exchanges and internal teams for member evaluation.
• Used analytics tools to generate reports and flag high-risk or financially stressed members.

Limited Purpose Inspections (LPI)

• Scoped and monitored Limited Purpose Inspections based on risk triggers.
• Reviewed reports from regional offices and shared findings with SEBI when required.

IT Coordination

• Liaised with IT for system enhancement requests and UAT testing.
• Ensured accurate release of updates in the live environment.
• Coordinated BCP activities across regional offices.

Regulatory & Process Management

• Drove process improvements and submitted updates to the Business Excellence team.
• Responded to SEBI/member compliance queries and maintained regulatory records.
• Managed investor awareness campaigns (email/SMS) using UCC data.

cv.hr@evokehr.com