Rathi - Head - Internal Audit

Key Responsibilities:

Audit Planning and Execution:

• Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards across capital markets, equity trading, and related activities.

• Evaluate the organizations adherence to SEBIs regulatory requirements and industry best practices.
• Risk Assessment and Mitigation:

• Identify operational inefficiencies and recommend effective mitigation strategies.

• Monitor and report on key risk metrics and performance indicators.

Compliance with SEBI Guidelines:

• Stay up to date with regulatory changes and amendments impacting operational and financial risk management.

• Liaise with regulatory authorities and provide audit reports and compliance updates as required.

Documentation and Reporting:

• Prepare detailed audit reports summarizing observations, compliance gaps, and actionable recommendations.

• Maintain accurate and comprehensive documentation of audit procedures and outcomes.

• Present findings, risk insights, and action plans to senior management and relevant stakeholders.

Stakeholder Collaboration:

• Work closely with functional heads, risk management teams, and compliance officers to resolve audit observations and strengthen controls.

- Conduct training sessions on SEBI SOAP guidelines and operational risk management.

• Serve as a key point of contact for internal and external audits.

Qualifications and Skills:

• Bachelors or Masters degree in Finance, Accounting, Business Administration, or a related field.

• 5+ years of experience in internal audit, compliance, or risk management within the capital markets or financial services industry.

• Strong knowledge of SEBI SOAP guidelines, capital markets operations, and equity trading practices.

• Solid understanding of risk assessment methodologies, internal control frameworks, and regulatory reporting.

• Excellent skills in analytical thinking, problem-solving, and stakeholder communication.

- Professional certifications such as CIA, CISA, CA, or equivalent are a plus