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Job Description

🧾 Job Title: Internal Auditor

Location:

Employers:

Employment Type:

Experience Required:


🔍 Role Overview

Candidates with an insurance sector background will not be considered.


🧠 Key Responsibilities

  • Conduct internal audits and risk assessments of capital markets and investment banking processes.
  • Evaluate and test internal controls for

    SOX compliance

    and operational effectiveness.
  • Review systems and controls across front, middle, and back-office functions.
  • Assess key control processes in trading, settlements, reconciliations, risk reporting, and regulatory compliance.
  • Prepare detailed audit reports with findings, risk implications, and actionable recommendations.
  • Coordinate with cross-functional and global stakeholders to drive implementation of audit findings.
  • Contribute to the development of risk-based internal audit plans.
  • Assist in

    SOX reviews, control self-assessments, and special investigations

    as required.
  • Stay updated on evolving regulatory and risk landscapes in capital markets.


✅ Required Skills & Experience

  • 2–7 years of post-qualification experience in

    internal audit

    , preferably within consulting or BFSI.
  • Hands-on experience in

    SOX compliance

    , including documentation, testing, and reporting.
  • Strong exposure to capital market and global investment banking products such as:
  • Fixed Income

    ,

    Bonds

    ,

    Derivatives

    (Options, Futures, Rates, Credit, Equities, Structured Products)
  • Solid understanding of control testing methodologies and risk assessment frameworks.
  • Proficient in preparing audit documentation and communicating key risks to senior stakeholders.
  • Excellent interpersonal, communication, and project management skills.


🎓 Preferred Qualifications

  • Chartered Accountant (CA) or Certified Internal Auditor (CIA)
  • CFA (Level I or above), FRM, or MBA (Finance) preferred
  • Prior experience auditing or working in investment banking or capital market environments


🚫 Exclusions

  • Candidates with core experience limited to the

    insurance sector

    will

    not be considered

    for this role.


💰 Compensation

  • Competitive salary + performance-based incentives (as per firm policy)

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