Internal Audit Depository Executive

Responsibilities :

• Depository Participant Operations Audit : Conduct internal audits of Depository Participant (DP) operations, ensuring adherence to established procedures and regulatory guidelines.
• Regulatory Compliance Audit : Verify compliance with SEBI (Securities and Exchange Board of India) regulations and Depository guidelines issued by both NSDL (National Securities Depository Limited) and CDSL (Central Depository Services Limited) .
• DP Regulations Review : Review and assess the implementation of all relevant DP regulations, identifying any gaps or non-compliance.
• Internal Audit Execution : Execute internal audit assignments, including planning, fieldwork, documentation, and reporting of findings related to depository operations.
• Risk Assessment : Assist in identifying operational and compliance risks within the depository functions and evaluate the effectiveness of internal controls designed to mitigate these risks.
• Report Preparation : Prepare clear, concise, and accurate audit reports detailing findings, recommendations, and action plans.
• Process Improvement : Suggest improvements to DP operations and internal control frameworks based on audit observations.
• Stakeholder Interaction : Liaise with relevant internal departments and external entities to gather information and clarify audit findings.

Required Skills :

Skills Required

NSDL, Sebi, CDSL, Internal Audit, Risk Assessment