Ensure control testing coverage is aligned with applicable RBI directions, circulars, notifications and regulatory expectations applicable to NBFCs.
Identify appropriate mitigation strategies and corrective controls for identified control gaps, process deficiencies and emerging risks.
Prepare transparent, concise, and evidence-based control testing reports covering observations, risk/impact, root cause, risk rating and recommended corrective actions.
Assess adherence to Board-approved policies, SOPs, delegated authority and regulatory requirements.
Develop and execute risk-based internal control testing plans across business and support functions.
Evaluate the design adequacy and operating effectiveness of key controls through walkthroughs, sample testing, data analytics and transaction testing.
Develop and maintain Risk Control Matrices (RCMs)



for key processes and map key risks to preventive and detective controls and identify control gaps.
Validate whether identified controls are operating consistently and effectively.
Identify control gaps, process deviations, override instances and instances of non-compliance with approved policies.
Review testing methodology, sampling, working papers and audit observations prepared by team members. Further discuss findings with process owners and obtain management responses.
Prepare transparent, concise, and evidence-based control testing reports covering observations, risk/impact, root cause, risk rating and recommended corrective actions.

📌 Manager/sr Manager Jaipur
🏢 Namdev Finvest
📍 Jaipur