Employer: Leading NBFC Company
Role: Lead - Corporate Vertical - Internal Audit
Job Location: Mumbai
Qualification: CA
Responsibilities:
- Conduct risk-based internal audits across business verticals including Retail Assets, Wholesale/Credit, and Support functions (Treasury, Finance, HR, IT, etc.)
- Perform independent assessments of business processes, controls, documentation, underwriting, monitoring mechanisms, and operational practices to identify associated risks and mitigants.
- Evaluate adherence to internal policies, SOPs, regulatory guidelines, and governance standards, and highlight deviations or control weaknesses.
- Review effectiveness of risk monitoring frameworks including Early Warning Signals (EWS), exception management, portfolio monitoring, and escalation mechanisms, where applicable.
- Identify gaps in process design, control execution, and risk management practices, and recommend practical corrective and preventive actions.
- Undertake thematic reviews, special audits, investigations, or assignments as directed by Senior Management, Audit Committee of the Board (ACB), or Regulators.
- Prepare Business Understanding Documents (BUDs), risk assessments, audit plans, and checklists to ensure comprehensive audit coverage.
- Execute audits end-to-end including planning, fieldwork, testing, documentation, stakeholder discussions, reporting, and closure tracking.
- Draft clear, concise, and actionable audit reports supported by adequate documentation and evidence.
- Monitor closure of audit observations and assess effectiveness of remediation actions implemented by auditees.
- Collaborate with cross-functional teams and stakeholders to drive timely resolution of audit findings and strengthen internal controls.
- Lead, guide, and mentor audit team members by reviewing workpapers, providing direction, and ensuring quality and consistency in audit execution.
- Stay updated on industry practices, emerging risks, regulatory developments, and changes in the NBFC and financial services landscape.
- Travel across locations/branches PAN India as required for audit assignments.
Please send your CV with below details if this suits your requirement:
1. Current Salary: (Fix + Variable)
2. Expected CTC:
3. Current Employer: (if working)
4. Current Location:
5. Notice Period: (if working)
6. Ok for Work from Office from Mumbai:
7. Total years of experience in Internal Audit (in years):
8. Relevant Experience:
9. Experience of (Treasury, Risk & Finance):
10. CA Batch:
Ruchika
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