Overview
Key Responsibilities:
Audit Planning and Execution:
– Develop and implement robust audit frameworks to comply with SEBI SOAP guidelines.
– Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards across capital markets, equity trading, and related activities.
– Evaluate the organizations adherence to SEBIs regulatory requirements and industry best practices.
– Risk Assessment and Mitigation:
– Perform comprehensive risk assessments for all relevant business processes.
– Identify operational inefficiencies and recommend effective mitigation strategies.
– Monitor and report on key risk metrics and performance indicators.
Compliance with SEBI Guidelines:
– Ensure all processes and controls are aligned with SEBI SOAP framework requirements.
– Stay up to date with regulatory changes and amendments impacting operational and financial risk management.
– Liaise with regulatory authorities and provide audit reports and compliance updates as required.
Documentation and Reporting:
– Prepare detailed audit reports summarizing observations, compliance gaps, and actionable recommendations.
– Maintain accurate and comprehensive documentation of audit procedures and outcomes.
– Present findings, risk insights, and action plans to senior management and relevant stakeholders.
Stakeholder Collaboration:
– Work closely with functional heads, risk management teams, and compliance officers to resolve audit observations and strengthen controls.
– Conduct training sessions on SEBI SOAP guidelines and operational risk management.
– Serve as a key point of contact for internal and external audits.
Qualifications and Skills:
– Bachelors or Masters degree in Finance, Accounting, Business Administration, or a related field.
– 5+ years of experience in internal audit, compliance, or risk management within the capital markets or financial services industry.
– Strong knowledge of SEBI SOAP guidelines, capital markets operations, and equity trading practices.
– Solid understanding of risk assessment methodologies, internal control frameworks, and regulatory reporting.
– Excellent skills in analytical thinking, problem-solving, and stakeholder communication.
– Professional certifications such as CIA, CISA, CA, or equivalent are a plus