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Head of Internal Audit

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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