Head - Internal Audit
- Anand Rathi Financial
- 1 Positions
- Mumbai
- 7 months ago
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Job Description
- 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.
- 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.
- 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.
- 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.
- 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.
1. Audit Planning and Execution:
2. Risk Assessment and Mitigation:
3. Compliance with SEBI Guidelines:
4. Documentation and Reporting:
5. Stakeholder Collaboration:
Employement Category:
Employement Type: Full timeIndustry: BrokingRole Category: AuditFunctional Area: Not SpecifiedRole/Responsibilies: Head - Internal AuditContact Details:
Company: Anand Rathi FinancialLocation(s): Mumbai
Keyskills: internal audit framework risk mitigation sebi regulations
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Anand Rathi Financial
Anand Rathi Group is one of India's fastest growing full service securities firm. The services offered range from Wealth Management, Investment Banking, Corporate Finance & Advisory, Brokerage & Distribution in the areas of equities, commodities, mutual funds and insurance. With presence at ...
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