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