Description:
Key Responsibilities:
- Develop and execute the annual internal audit plan based on risk assessments.
- Lead audits across finance, operations, IT, and compliance.
- Liaise with external auditors & regulatory authorities (SEBI, statutory auditors).
- Finalize inspection & audit reports in coordination with the Board and Trustees.
- Monitor and review voice recording systems and compliance automation tools.
- Conduct special investigations and escalate findings to senior management.
- Ensure timely submission of regulatory reports (Scheme Annual Reports, Half-Yearly Portfolios, etc.).
- Deliver training on Prohibition of Insider Trading Regulations.
Indicative KPIs:
- % of audits completed as per schedule.
- Audit findings resolved within defined SLAs.
- Timeliness & accuracy of regulatory submissions.
- Number of non-compliance incidents identified and remediated.
- Stakeholder satisfaction scores.
- MTTD & MTTR for audit issues.
Key Skills & Experience:
- Strong knowledge of SEBI regulations and financial services compliance.
- Experience in managing statutory & internal audits.
- Excellent analytical, communication, and stakeholder management skills.
- Familiarity with audit tools, voice monitoring systems, and automation platforms.
- Certifications like CIA, CA, CPA preferred.
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