Internal Auditor - Financial Services - CA

Job Title : Internal Auditor

Location : Mumbai

Experience : 6-10 years

Qualification : Chartered Accountant (CA)

Job Summary:

We are looking for a qualified Internal Auditor with 6-10 years of experience to lead and execute audits across Broking, Financial Markets, Branch Banking, and Control & Support Functions. The role involves ensuring regulatory compliance, strengthening internal controls, and identifying process improvements.

Key Responsibilities:

- Conduct internal audits for Broking operations, Financial Markets, and Branch Banking functions

- Evaluate the effectiveness of internal controls, risk management, and governance processes

- Perform audits of Control and Support Functions such as Operations, Finance, Compliance, HR, and IT

- Ensure adherence to regulatory guidelines (RBI, SEBI, etc.)

- Identify control gaps, process inefficiencies, and recommend corrective actions

- Prepare detailed audit reports and present findings to senior management

- Follow up on audit observations and ensure timely closure

- Coordinate with stakeholders for audit planning and execution

Key Requirements:

- CA qualification (mandatory)

- 6-10 years of relevant experience in Internal Audit within Banking / NBFC / Financial Services

- Strong knowledge of Broking, Financial Markets, and Banking operations

- Familiarity with RBI / SEBI regulations and compliance frameworks

- Good understanding of risk management and internal control frameworks

- Strong analytical, communication, and stakeholder management skills

Preferred Skills:

- Experience in data analytics / audit tools

- Exposure to process improvement and automation initiatives

- Ability to work independently and handle multiple audits