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Head of Internal Audit

Anand Rathi Share and Stock Brokers LtdMumbai, Maharashtra, India

13 days ago

Job description

1. Audit Planning and Execution :

Develop and implement audit frameworks to comply with SEBI SOAP guidelines.
Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards.
Evaluate the organization’s adherence to SEBI's regulatory requirements and best practices.

2. Risk Assessment and Mitigation :

Perform risk assessments for all processes related to the capital market, equity trading, and related activities.

Identify operational inefficiencies and propose mitigation strategies to minimize risks.

Monitor and report on risk metrics and key performance indicators.

3. Compliance with SEBI Guidelines :

Ensure the organization’s processes align with the SEBI SOAP framework, including operational and financial risk management.

Stay updated with the latest SEBI regulations and amendments related to SOAP guidelines.

Liaise with regulatory authorities and provide reports on audit findings, as required.

4. Documentation and Reporting :

Prepare detailed audit reports, highlighting observations, compliance gaps, and recommendations for improvement.

Maintain accurate and comprehensive documentation of audit procedures and outcomes.

Present findings and action plans to senior management and relevant stakeholders.

5. Stakeholder Collaboration :

Work closely with functional heads, risk management teams, and compliance officers to address audit observations.

Train employees on SEBI SOAP guidelines and operational risk management practices.

Act as a point of contact for internal and external audits.

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Internal Audit Internal Audit • Mumbai, Maharashtra, India

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