Internal Auditor

Opportunity with a Leading NBFC for an experienced professional in Corporate Functions Internal Audit.

Job Purpose:

Purpose of this role is to execute the Audit Strategy and Plan for Corporate Functions Audits covering all the key areas across corporate, risk management and control functions in NBFC including Compliance, Risk Management Function (covering the management of various risks such as Legal risk, Fraud risk, Operational risk, Third party risk/Outsourcing risk, Liquidity risk, Financial risk, Reputational risk etc.), Legal, Collections, Finance and Accounts, HR and Admin, Centralised Operations and Customer Service, Treasury and Debt Capital Market, Secretarial, Marketing to assess adequacy and effectiveness of risk management and controls, and adherence to internal policies and procedures as well as applicable laws and regulations.

Role & responsibilities

• Execute the Audit Strategy and Plan for Corporate Functions, covering key corporate, risk management and control functions.
• Conduct audits across Compliance, Risk Management, Legal, Collections, Finance & Accounts, HR & Admin, Centralised Operations & Customer Service, Treasury & Debt Capital Markets, Secretarial and Marketing.
• Assess the adequacy and effectiveness of risk management and internal controls, and adherence to internal policies, procedures, applicable laws and regulatory requirements.
• Conduct risk-based, thematic and specialised audit reviews covering areas such as Compliance Risk, Legal Risk, Fraud Risk, Operational Risk, Third-Party/Outsourcing Risk, Liquidity Risk, Financial Risk, People Risk and Reputational Risk.
• Review Treasury & Investment functions, Liquidity Risk Management, Vendor Payments, General Ledger & Accounting Controls, Regulatory Reporting, Employee Onboarding & Payroll, Procurement and Facilities Management, among other corporate functions.
• Conduct review of application/automated controls and Management Information Systems used by corporate, risk management and control functions.
• Identify control gaps and provide recommendations for improvement based on industry practices and emerging risks.
• Ensure timely completion of audits, audit documentation, reporting and follow-up on implementation of recommendations.
• Conduct continuous monitoring, unplanned reviews/investigations and risk assessments based on identified triggers or hotspots.
• Effectively communicate audit findings and recommendations to relevant stakeholders and management.

Preferred candidate profile

• CA (Batch 2022 or before) with minimum 3 years of relevant experience. Should have hands-on experience in Internal/Corporate Functions Audit covering Finance, Risk, Treasury, HR, Admin, Compliance, etc.
• Experience in NBFC/Banking/Financial Services preferred.