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Manager - Internal Audit (Stockbroking)

Manager - Internal Audit (Stockbroking)

ConfidentialBengaluru / Bangalore
24 days ago
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

    • Skills Required

    Internal Audit, Risk Assessment, Regulatory Compliance, Data Governance

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    Manager Internal Audit • Bengaluru / Bangalore

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