Key Responsibilities:
- Audit Planning and Execution
- Lead the execution of internal audits across all functions within the NBFC, including loan origination, financial operations, investments, and risk management.
- Develop audit plans based on a thorough risk assessment, ensuring that audits focus on high-risk areas and provide value-added insights to senior management.
- Conduct comprehensive audits of financial statements, regulatory compliance, operational processes, and internal controls to ensure the company’s activities adhere to industry standards and internal policies.
- Risk Assessment and Internal Controls
- Assess the adequacy and effectiveness of internal controls within financial, operational, and regulatory processes.
- Identify areas of potential risk, inefficiencies, or non-compliance in key processes like loan documentation, credit assessment, asset management, and investment strategies.
- Recommend improvements to strengthen internal controls and reduce exposure to risks such as fraud, mismanagement, or regulatory penalties.




- Compliance with Regulatory Frameworks
- Ensure that the NBFC complies with all applicable financial regulations, including the RBI’s guidelines, SEBI regulations, and other relevant industry standards.
- Stay updated on changes in the regulatory landscape affecting NBFCs and ensure timely incorporation of these changes into internal processes and audits.
- Support external audits by providing required documentation and evidence to ensure smooth audit cycles and compliance.
- Audit Reporting and Documentation
- Prepare explicit and concise audit reports detailing audit findings, risk assessments, and practical recommendations for improving processes and controls.
- Communicate audit results to senior management and the audit committee, presenting insights and advising on corrective actions and risk mitigation strategies.
- Ensure proper documentation of audit workpapers, findings, and follow-up actions to maintain an audit trai

📌 Audit Manager (Ernakulam)
🏢 FINOVEST GROUP
📍 Ernakulam