Protiviti - Senior Consultant/Deputy Manager - Internal Audit - Capital Markets

Internal Audit Senior Consultant / Deputy Manager - Capital Markets

Role Overview :

We are looking for professionals with experience in Internal Audit within Capital Markets, specifically across Asset Management Operations, Wealth Management, Compliance, and AML functions. The role involves conducting risk-based internal audits, evaluating operational controls, regulatory compliance, and identifying process improvement opportunities.
Key Responsibilities :
- Execute internal audits across Asset Management Operations, Wealth Management, Compliance, and AML functions for AMC.
- Review and evaluate internal controls, operational processes, and risk management frameworks.
- Assess adherence to regulatory guidelines, policies, and compliance standards.
- Conduct AML/KYC reviews, transaction monitoring assessments, and compliance testing.
- Identify control gaps, operational risks, and process inefficiencies, and recommend corrective actions.
- Prepare audit reports with observations, risk ratings, and actionable recommendations.
- Interact with stakeholders and business teams for audit discussions and closure of findings.
- Support follow-up reviews and monitor implementation of audit recommendations.
- Stay updated with industry regulations, market developments, and best practices in Capital Markets and Wealth Management.
Required Skills & Experience :
- Experience in Internal Audit within Capital Markets / Financial Services.
- Strong understanding of Asset Management Operations and Wealth Management processes.
- Exposure to Compliance, AML, KYC, transaction monitoring, and regulatory audits.
- Knowledge of risk and control frameworks.
- Good analytical, communication, and stakeholder management skills.
- Ability to prepare detailed audit reports and present findings effectively