Position Title: Manager – Internal Audit
Job Description – Internal Audit Manager
📌 Overview
We are seeking an experienced and detail-oriented
Internal Audit Manager
with a proven track record in auditing
Stock Broking
and /
Registrar & Share Transfer (STA) Operations
. The ideal candidate will oversee internal audit processes, verifying compliance with regulatory requirements, and provide strategic recommendations to enhance organizational efficiency.
This role requires strong analytical skills, excellent communication abilities, and the ability to lead and mentor a team of auditors while maintaining the highest standards of integrity and professionalism.
🎯 Key Responsibilities
Audit Planning & Strategy
Develop and implement internal audit plans and strategies.
Assist in the development of the annual audit plan.
Risk & Control Evaluation
Conduct risk assessments and identify areas of improvement.
Evaluate the effectiveness of internal controls and processes.
Identify and assess potential risks to the organization.
Compliance & Reporting
Ensure compliance with SEBI, Stock Exchanges, and Depositories regulations.
Prepare detailed audit reports and present findings to senior management and the Stakeholders.
Develop and maintain audit documentation and records.
Team Leadership & Collaboration
Lead and mentor a team of internal auditors.
Collaborate with various departments to address audit findings and recommendations.
To follow up on the implementation of audit recommendations.
Process Improvement & Integrity
Identify gaps in existing processes, controls, and compliance frameworks.
Provide suitable and pragmatic suggestions for improvement and effective implementation to strengthen Internal Controls.
To maintain confidentiality, accuracy, and integrity of audit information.
Participate in continuous improvement initiatives to enhance organizational efficiency.
Uphold the highest standards of professional ethics and integrity.
🛠️ Requirements & Skills
Education & Experience
Bachelor’s degree in accounting / finance (preferably BCom (CS)).
Certified professional with valid NISM accreditation or equivalent regulatory certification
Minimum of 10 years of experience in internal auditing of Stock Broking and / RTA activities
Preferred age: 35+
Technical & Professional Skills
Excellent analytical and problem-solving skills.
Strong knowledge of regulatory requirements, Operations – Front & Back end and industry standards.
Proficient in MS Office.
Experience in risk assessment and internal control evaluation.
Leadership & Interpersonal Skills
Proven ability to lead and manage a team.
Strong communication and presentation skills.
Ability to work independently and collaboratively.
Strong organizational and time management skills.
Ability to manage multiple projects and meet timelines.
Strong interpersonal skills with the ability to build relationships.
Personal Attributes
Detail-oriented with a high level of accuracy.
Proactive, self-motivated, and committed to excellence.
Continuous learning mindset with willingness to stay updated on industry trends.
High ethical standards and integrity.
