Lead Auditor- Business Audits

We’re looking for a Lead Internal Auditor to join our team and drive internal control and compliance excellence across the organization.

📍 Location: Kanjurmarg, Mumbai

Audit Deliverables

• Lead auditor (LA) leads internal audits (Retail Broking Branches; Operations; Risk; Research; Institutional Equities; Investment Advisory; Proprietary Trading) as per the annual audit plan, evaluates the adequacy and effectiveness of internal controls and verifies compliance with all applicable laws and regulations.
• Planning and executing audit fieldwork in line with the agreed audit approach e.g., documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with standards.
• LA reviews special investigations from time to time.
• LA leads the branch inspection reviews, discusses obse...