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AM/DM - Fund Audit - Internal Audit - BFSI (1-10 yrs)
Job Type: Permanent
Location: Mumbai / This job will involve significant travel outside India mainly to London (80% annually).
Department: Finance
Reporting to: Manager IA Mumbai for day to day management
Job Description:
Title: Auditor Group wide Internal Audit
Scope of Role (GwIA - Key departments / areas of responsibility):
- IA -Group wide Internal Audit function
Job Dimensions:
- Financial/Non Financial: Deliver Internal Audit reviews in the BU's across the group.
Overall Job Purpose/Role:
- To carry out Internal Audit engagements for organization's Mumbai branch and other parts of the group in support capacity under the supervision and guidance of BU Lead auditors/ Audit Managers within GwIA.
Key Accountabilities and Responsibilities
- To work under the direct supervision and guidance of the Director IA and Manager IA to generally achieve the following mainly:
Internal audit:
- Deliver IA reviews of consistently high quality.
Planning:
- Being able to properly assimilate the information provided by the Lead Auditor from the Planning phase of the audit.
- The Auditor should be able to understand the business background of the area being audited; and their role in the audit assignment.
- It may be necessary from time to time, for the Auditor to assist the Lead Auditor and Audit Manager in conducting the planning phase of the audit.
- Document the key processes and associated controls being examined in the audit. This will involve the use of flowcharts where necessary.
Fieldwork:
- The Auditor should assist the Lead Auditor in completing a control and risk assessment matrix following their documentation of the systems and processes being reviewed and preparation of a test programme.
- The Auditor should test that the controls identified in the risk assessment exercise are operating effectively in accordance with the test programme.
- Address any review points raised by the Lead Auditor/ Manager and QA team.
Reporting:
- Support the lead auditor in drafting audit conclusions based on control and risk evaluation and associated testing. Practical recommendations for any remedial action should be made.
- Populate Teammate with planning, fieldwork and reporting material
- Assist the Lead Auditor and Audit Manager in discussing and finalising the findings and actions with the management responsible for the activities being audited.
Issue Assurance:
- Document Issue Assurance workpapers on Team Central
- Promote GwIA and the service it provides by building strong and effective working relationships with business colleague, other IA staff and external auditors.
- Adhere to the various policies, procedures, guidelines, including timely completion of various activities such as mandatory CBTs, time sheets, expense statements, leave requests, etc.
- Work with minimum supervision
- Maintain domain expertise
Key Interfaces (Internal/External):
- Organization's Business Areas - audit planning, sharing best practice
- GwIA- Audit delivery across Business units
Competence / Knowledge / Skills required:
Qualification & Certifications:
- Chartered Accountancy/CPA/CIMA/MBA/CFA/Post graduate qualification
- Certifications such as CISA, FRM, CIA would be beneficial
- At least 1-8+ years of work experience in internal audit with audits handled for atleast 2 finance institutions.
- Good knowledge of COSO framework
Skills:
- Ability to grasp issues and learn new concepts quickly
- Proficient with MS Office applications
- Ability to plan and deliver work assigned in an organised manner
- Take responsibility for own work and assigned areas
- Focussed on delivery and quality
- Work on identified development areas to improve further
- Integrity
- Proactive in managing own utilisation
- Self-motivated
- Acts promptly to resolve stakeholder requests or problems
- Responds positively to changes within the
- team, structure and process
- Problem / Issue Identification
- Inquisitive
- Logical and Structured thought process
- Good written and verbal communication skills
- Get point across clearly
- Creates accurate and clear e-mails and work papers covering simple areas
- Team player - Works co-operatively with others in own team to achieve team goals
- Flexes own style and approach to "fit in" with other colleagues in own area
- Articulates a point of view, persuasively and credibly
Attitude:
- Good team player
- High on integrity
- Demonstrates ethical behaviour
- Orientation to timely delivery of work to a professional standard
- Pragmatic approach
- Willingness to travel extensively
- Commercial orientation
About the Company:
One of the international London based financial services group with significant operations in Asia, the US and the UK with around 24 million customers- base and - 496 billion of assets under management.
If interested in the discussed position then kindly revert with the following required details:
Latest CV:
Years of Exp post CA or highest qualification:
Have you carried out audits for banks/insurance/finance organizations: Y/N
If Yes, Pls mention them:
Are you willing to be extensively (8-9 months in a year) at onsite/abroad: Y/N
Willing to relocate to Mumbai: Y/N
Current CTC:
Expected CTC:
Notice Period:
Purnendu Shakunt
Hirewire Solutions
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