Job Location - Mumbai
Industry - Investment Bank
Responsibilities
The role of the Associate is to support the Technology Portfolio Director (TPD), based in Powai who reports to the Regional Head of Internal Audit and the Global Portfolio Director based in London, in the definition, execution and management of the Internal Audit efforts related to Compliance, Financial Crimes, Anti-Bribery and Legal.
The candidate will be responsible to support the audit of technology components covered in the above mentioned LCC areas.
The LCC portfolio, oversees key control frameworks related to Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), and Legal, including the use of Master Agreements.
In this role, the Associate is expected to:
- Leading and executing the IT audit reviews (Application controls & ITGC) independently in global and regional LCC audits including audit scoping, execution and reporting.
- Work closely with business auditors on integrated audit reviews, and report directly to the Global LCC TPD.
- Take primary responsibility for audit planning, fieldwork, finalising report findings and agreeing action plans with auditees.
- Candidate should also be able to perform Data Analytics in audits using tools such as excel/Power BI or Python coding.
- Support Internal Audit's strategic initiative for Data Analytics by being an active supporter and contributor to this initiative.
- Advocate and develop audit colleagues to use data analysis to improve and enhance the audit approach.
- Maintain strong independent working relationships with LCC technology teams, identifying emerging risks, and raising important value adding control improvements to senior management.
- Follow-up and validating audit findings raised in audit reports and tracked by Internal Audit.
- Perform risk assessments, at least annually, using the departmental risk assessment methodology.
- Carry out special projects, ad hoc investigations and advisory work where required.
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