Job Title - Senior Auditor – Internal Audit (Financial Markets)

Internal Audit Vertical - Financial Markets

Approximate age bracket - 35 years

Job-description, role, activities and deliverables -

Responsible and accountable for conducting internal audits of YES Securities Ltd. (Stock and Commodities Broking and Depository Participant business), and other audits conducted by the Financial Markets audit vertical
Conduct the internal audits in a time-bound manner as per the approved Risk Based Audit Plan, Internal Audit Policy and Internal Audit Process
Conduct the audits as per the scope of the audits which covers aspects of governance framework, policies, processes, business, products, risks, operations, information security, business continuity etc.
Apply experience, knowledge and understanding to continuously improve the effectiveness of internal controls and efficiency in the processes
Demonstrate sound knowledge of regulatory guidelines on Broking business and operations, Depository Participant business and operations, Equity Research, Alternate Investment Fund (AIF)




Interpret the regulatory guidelines and its applicability and implementation by YES Securities Ltd.
Oversight of concurrent audits for the areas within the vertical
Conduct Thematic audits, Snap Audits, etc. on need-basis
Undertake project(s) to improve and streamline the audit scope, checklists, checkpoints, Audit Planning Memorandum (APM)
Engage with all the stakeholders for audit activities and issues
Adhere to the quality standards as per the ISO norms

Any other audit related role and activities as and when assigned

Essential competencies -

In-depth knowledge and experience of audit of retail and institutional broking, broking operations, Depository Participant business and operations, Alternate Investment Firms (AIFs), SEBI, Depositories, Exchanges guidelines
Sound knowledge and understanding of operational risks, customer service and grievance redressal, compliances, and attendant proces

📌 Senior Auditor (Mumbai)
🏢 Yes Bank
📍 Mumbai