Consultant / Assistant Manager Internal Audit (Capital Markets)

Location: Mumbai
Experience: 28 Years
Level: Consultant / Assistant Manager
Practice: Governance, Risk & Compliance Services (GRCS)
Industry: Capital Markets / Investment Banking / Financial Services

Job Overview

We are currently hiring for the position of Consultant / Assistant Manager Internal Audit (Capital Markets) within our Governance, Risk & Compliance Services (GRCS) practice based in Mumbai.

The role offers an chance to work on global risk consulting and internal audit engagements across Capital Markets, Global Markets, Investment Banking, Asset & Wealth Management, Treasury, and other financial services functions.

The ideal candidate will have hands-on experience in Risk-Based Internal Audit, Risk Assessment, Control Testing, Process Consulting, Control Design Assessment (CDA), and Test of Operating Effectiveness (TOE).

Key Service Areas

The selected candidate will be involved in engagements covering:
- Risk-Based Internal Audit and Internal Audit
- Risk Assessment and Risk Control Matrix (RCM)



preparation
- Internal Control Testing
- SOX (Sarbanes-Oxley Act)
- ICFR (Internal Control over Financial Reporting)
- Global Markets / Capital Markets Reviews
- Equity and Derivative Products
- Treasury Audit
- Process Consulting and Risk Consulting

Roles & Responsibilities
- Conduct risk-based internal audits across various functions and Banking Lines of Business (LOBs), including:
- Asset & Wealth Management (AWM)
- Private Wealth Management (PWM)
- Global Markets (GM)
- Capital Markets
- Equity & Derivative Products
- Finance
- Third-Party Risk Management
- Treasury
- Credit Risk
- Operational Risk
- Perform process walkthroughs and prepare Risk Control Matrices (RCMs) for audit execution.
- Assess internal controls, identify process gaps, and recommend effective improvements and management action plans.
- Perform Control Design Assessment (CDA) and Test of Operating Effectiveness (TOE)

📌 Consultant / Assistant Manager_Internal Audit (Capital Markets) (Mumbai)
🏢 INNOVATIVE
📍 Mumbai