About Role

- We are seeking an experienced Audit professional to lead and execute risk-based audits across Institutional Equities, Investment Banking, Capital Markets, and related advisory businesses. The role is responsible for assessing the effectiveness of governance frameworks, internal controls, regulatory compliance, and risk management practices across key business functions while providing independent assurance to senior management. The incumbent will independently plan and execute end-to-end audits, perform thematic and regulatory reviews, assess transaction due diligence processes, and evaluate front-to-back business operations. The role requires close collaboration with senior business stakeholders to identify control gaps, recommend process improvements, and ensure adherence to internal policies and regulatory requirements.

Key responsibilities

- Lead and execute risk-based internal audits across Institutional Equities, Investment Banking, and Capital Markets businesses.
- Evaluate the design and operating effectiveness of internal controls, governance frameworks, and risk management practices.
- Conduct audits covering Equity Capital Markets (ECM), Debt Capital Markets (DCM), Mergers & Acquisitions (M&A;) Advisory, equity brokerage, trading businesses, and associated support functions.
- Perform thematic reviews, regulatory compliance assessments, and transaction due diligence audits.
- Assess front-to-back operational processes, including trade lifecycle, deal execution, advisory activities, and post-transaction controls.
- Review Information Barrier controls, Conduct Risk frameworks,



and conflicts of interest management processes.
- Identify control deficiencies, recommend practical remediation measures, and monitor closure of audit observations.
- Engage with senior business stakeholders to discuss audit findings, provide risk insights, and strengthen the overall control environment.
- Ensure audit execution aligns with internal audit methodology, regulatory expectations, and industry best practices.
- Prepare high-quality audit reports and present findings to senior management and governance committees.

Key Coverage Areas

- Institutional Equities
- Investment Banking
- Equity Capital Markets (ECM)
- Debt Capital Markets (DCM)
- Mergers & Acquisitions (M&A;) Advisory
- Capital Markets & Trading Businesses
- Equity Brokerage
- Information Barrier Controls
- Conduct Risk
- Regulatory & Compliance Audits
- Transaction Due Diligence
- Front-to-Back Business Audits

Preferred candidate profile

- Strong experience in Internal Audit, Risk, or Compliance within Investment Banking, Capital Markets, Institutional Equities, or Global Markets.
- Sound understanding of ECM, DCM, M&A; Advisory, equity brokerage, trading operations, and capital market products.
- Knowledge of applicable regulatory frameworks, governance standards, and market conduct requirements.
- Experience in conducting risk-based audits, regulatory reviews, and control assessments.
- Robust stakeholder management, analytical, communication, and report-writing skills.
- Professional certifications such as CA, CIA, CPA, FRM, or equivalent will be an added advantage.

📌 Internal Audit - Institutional Equities & Investment Banking (Mumbai)
🏢 SKILLVENTORY
📍 Mumbai