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Vertical Head - Branch Audit

Vertical Head - Branch Audit

ConfidentialMumbai
9 days ago
Job description
  • Purpose of this role is to develop and manage execution of the Audit Strategy and Plan for Branch Audits covering all the key areas across ABSLI Branches including activities handled / managed at the Branches related to business origination and customer onboarding, premium collections, operations, regulatory compliance and reporting, customer service and complaints management, fair practices and information security aspects to assess adequacy and effectiveness of risk management and controls at Branches, and adherence to internal policies and procedures as well as applicable laws, statutory requirements and regulations by Branches.
  • The primary function of the role will be to develop and manage the audit strategy and plan for proactively and qualitatively conducting the Branch Audits across ABSLI Branches adopting risk-based auditing approach, factoring the nature of the functions / activities at the branches, level and direction of risk, scale of operations, level of digitalisation and use of technology, use and involvement of third party vendors / partners at branches, applicable laws and regulations, the organization strategy, culture and maturity.
  • Develop audit strategies for identification and assessment of various risks in the key areas / activities at the Branches including Compliance risk, Legal risk, Fraud risk, Operational risk, Third party risk / Outsourcing risk, Financial risk, People risk, Reputational risk etc., and current maturity level of controls at Branches.
  • Develop audit plans based on risk assessment of Branches and the regulatory framework; Ensure use of advanced integrated auditing concepts and extensive use of technology and data analysis for achievement of the audit objectives
  • Plan and conduct Branch Audits testing 5000+ controls across ABSLI Branches in accordance with the Policies, Procedures, Legal, Statutory and Regulatory requirements, Internal Audit Standards, and leading best practices
  • Develop processes for adequate and effective audit coverage of various risks in the key areas / activities at the Branches including Compliance risk, Legal risk, Fraud risk, Operational risk, Third party risk / Outsourcing risk, Financial risk, People risk, Reputational risk etc., and various applicable laws and regulatory circulars / guidelines across various regulators.
  • Keep audit procedures and checklists current and updated keeping pace and aligned with changes in internal policies / guidelines as well as legal / statutory / regulatory changes and evolving industry best practices.
  • Develop specialised audit team for timely and quality execution of complex and specialised audit reviews covering all the key areas at Branches
  • Actively and Proactively manage the co-sourcing arrangements where specialised professional audit services are used for Branch Audits coverage; Ensure the timely and quality delivery of the Branch Audits even where such co-sourcing arrangements are utlised

    • Skills Required

    Regulatory Compliance, Fraud Risk Management

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    Branch Head • Mumbai

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