AVP - Audit - Securities/Broking House

Job Description :

- Perform special projects and assist business units in evaluating and improving business processes. Presenting key observations in Audit Committee meeting.

- Handling Regulatory Inspection & External Auditors for Process & Compliance review.

- Risk based Audit : Planning and ensuring completion of Annual Audit schedule.

- Monitoring, Review, Finalization of audit performed by the team.

- Ensuring all Regulatory Compliance are embedded and adhered by respective functions.

- Team Management : Resource planning, Recruitment, Training and Supervision of Team.

- Conducting process Audit of various functions and help in streaming Company`s processes.

- Monitoring Key Risk indicators and highlighting key risks on regular basis.

- Evaluate the effectiveness of internal control policies and influence best practice change by utilizing root cause analysis of audit results across multiple units.