Job Title - Manager / Senior Manager Internal Audit
Location:
Mumbai
Experience:
612 Years
Industry:
Financial Services / Capital Markets / Broking / NBFC
Qualification:
Chartered Accountant (CA) preferred
Department:
Internal AuditRole Overview
We are looking for an experienced Internal Audit professional to independently plan and execute risk-based internal audits across various business functions. The role involves evaluating internal controls, identifying process gaps, ensuring regulatory compliance, and recommending improvements to strengthen governance and operational efficiency.
Key Responsibilities
Internal Audit & Risk Assessment:
Plan and execute risk-based internal audits across business functions, financial processes, and operational activities.Internal Controls:
Evaluate the adequacy and effectiveness of internal controls, identify control gaps, and recommend corrective measures.Regulatory Compliance:
Review adherence to applicable SEBI, RBI, and other regulatory requirements relevant to the Group's businesses.Process Improvement:
Identify operational inefficiencies, financial risks, and process gaps, and recommend improvements.Audit Reporting:
Prepare comprehensive audit reports highlighting key observations, risk implications, and actionable recommendations.Stakeholder Management:
Collaborate with business heads and functional teams to discuss audit findings and implement corrective actions.Audit Follow-ups:
Track closure of audit observations and ensure timely implementation of agreed action plans.Governance & Controls:
Support management in strengthening governance frameworks, SOPs, risk management practices, and internal control mechanisms.
Desired Candidate Profile
- 612 years of relevant experience in Internal Audit, Risk Assurance, or Internal Controls, preferably within financial services.
- Qualified Chartered Accountant (CA) preferred.
- Strong understanding of internal audit methodologies, risk-based auditing, internal financial controls (IFC), and regulatory compliance.
- Experience auditing financial services businesses such as capital markets, securities broking, NBFCs, investment management, or trading operations.
- Ability to independently manage audit assignments from planning through reporting and closure.
- Strong analytical skills, attention to detail, and stakeholder management capabilities.
- Experience working with senior management and presenting audit observations will be an advantage.
Preferred Candidate Background
- Internal Audit professionals from financial services organisations, broking houses, NBFCs, or capital market institutions.
- Candidates from Big 4 or established audit and consulting firms with relevant financial services audit experience.
- Professionals who have managed end-to-end internal audits and worked closely with business and functional leadership.
Key Hiring Requirement:
Candidates should possess strong financial services domain knowledge, hands-on internal audit experience, and the ability to independently identify risks, evaluate controls, and drive closure of audit observations.
