1. Conduct Risk Based Internal Audits (RBIA) of MFI and SFB Branches as per schedule of the Audit Plan under the guidance of the Supervisors.
2. Sharing observations on daily basis to branch supervisors.
3. Draft audit observations and write Audit Reports.
4. Audit issue tracking and closure.
5. Based on audit observations providing suggestions/ feedback to enhance the existing processes policies taking into account Risk and compliance parameters.
6. Control testing and risk assessment.
7. Preparation and Review of Audit Work Papers.
8. Evidence to be gathered and submitted to Audit Manager after each audit.
9. Proper worksheet (Risk Control Matrix) to be prepared for each branch audited and kept in record.
10. Mentor for recent joinees and guide them on all policy matters and Field Audit Process.
KEY DUTIES RESPONSIBILITIES OF THE ROLE
Business/Financials
- Planning audit of Rural SFB branches in consultation with the Audit Manager.
- Execution of Audits as per Plan.
- Ensure customer visit as per approved sampling methodology as applicable.
- Ensure document verification of asset and micro banking liability as per approved sampling methodology. Field processes of micro Banking asset and liability to be visited (in each audit) as per audit methodology and suggested guidelines.
- Ensure to complete Branch Banking Audits as per approved audit process.
- Ensuring Social Service Department audits are executed as per the plan.
- Timely completion of various departmental / functional / process audits if any as per the Annual Audit Plan.
- Check adherence of our internal policies, processes products against the applicable RBI rules and regulations.
- Highlight design operational gaps identified during audits to the concerned stakeholde
📌 Specialist - Audit (Lucknow)
🏢 Ujjivan Small Finance Bank
📍 Lucknow
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