VP/AVP - Internal Audits - Stock Broking

- Developed Internal Audit Charter, Audit Manual & Risk based audit plan and presented to audit committee.

- Developed audit objectives, risk and control matrix (RCMs) and audit work program (AWPs) to address process, operational and financial risk factors. Managed audits ensuring work was assigned, completed timely, and work papers sufficiently supported identified risk.

- Led and managed operational, compliance, fraud and financial audits in various business areas. Performed risk- based audits and led audit teams for a wide array of audit assignments. Business functions and processes audits & branch audits with company policies and government laws and regulations.

- Execution of audit plan to assess effectiveness of internal controls and compliances of organizational process and policies.

- Driving results by reviewing implementation of improvement plan agreed by management. Conducted interviews for the follow up on earlier audit points.

- Trained and coached staff auditors, worked with other auditors providing guidance in audit techniques, risk assessments, client relations, audit program creation, testing procedures and audit report writing.

- Value addition by auditing by interlinking the process and connecting the dots and providing business insights about the business in complex business scenarios.

- Covered Pan India theme-based audits to drive audit insights and helped business of unexpected risk.

- Detailed root cause analysis to pinpoint exact issue and subsequent help in resolution and suggested process to enhance internal controls.

- Experience in setting up of Internal Audit functions from scratch in the organization, that comply with complex industry regulations for the financial institutions.

- Experience of working with In-house, co-sourced and outsourced team and independently coaching and training them for audit assignment.

- Proven skills in end to end management of Internal Audit from planning to execution and interacting with various business heads & stakeholders, delivering presentation to Audit Committee & Management Committees and ensuring implementation of recommendation etc.

- Hands-on experience in implementing System driven Internal Controls across various businesses covering financial reporting controls, operational & fraud risk management controls with specific focus on identifying and implementing automated controls.

- Successfully set-up Internal audit vertical in current