Manager - Internal Audit/Compliance - NBFC/Financial Services - CA

Our Client, a Leading NBFC/ Financial Services company is looking out for an Internal Audit/ Compliance Manager to be based at Mumbai.

Position : Internal Auditor/Compliance Auditor

Qualification : CA with Mutual Fund experience of more than 5 years.

Area : Compliance, Internal Audit, Risk Management

Location: Mumbai - Only Mumbai based candidates may apply for the role.

Role:

1. Setting up of investment limits for schemes of Mutual Fund, SIF, AIF.

2. Coordinating with Internal auditors and finalizing the internal audit reports.

3. Reviewing other audit reports like Cyber Audit, Systems audit, etc.

4. Preparation of Audit Committee agendas, minutes, etc.

5. Handling SEBI Inspection including offsite inspection.

6. Defining and carrying out Monitoring activities in critical areas.

7. Helping other functions in improvising the processes including exploring feasibility of automation.

8. Complete oversight and handling of over other activities of compliance function and guiding team wherever required.