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Manager - Internal Audit (Stockbroking)

Manager - Internal Audit (Stockbroking)

PhonePe

2 - 5 years

2 - 5 Lacs

bengaluru karnataka india

Posted:11 hours ago| Platform: Foundit logo

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Skills Required

internal audit risk assessment audit planning regulatory compliance

Work Mode

On-site

Job Type

Full Time

Job Description

Key Deliverables

Lead risk-based internal audits for stock broking, DP operations, trading, and client onboarding
Ensure compliance with SEBI, NSE, BSE, NSDL, and CDSL capital market regulations
Prepare and review comprehensive audit documentation including RCMs, reports, and flowcharts
Identify root causes and recommend corrective actions using structured methodologies like the 5 Whys

Role Responsibilities

Facilitate discussions with stakeholders on audit findings and remediation plans
Manage end-to-end audit lifecycle including scoping, execution, reporting, and follow-ups
Lead audit teams, plan resources, and manage audit budgets
Provide insights through quantitative analysis and drive continuous process improvement

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