Overview
Head – Internal Audit
Job Description:
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 organizations adherence to SEBI’s regulatory requirements and best practices.
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.
Compliance with SEBI Guidelines:
– Ensure the organizations 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.
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.
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.