- To execute and perform internal audit of branches as per audit methodology and procedures defined in Internal Audit Policy and applicable external/regulatory requirements
- To maintain evidences and supporting documents and submit to Regional Audit Manager after each audit completion.
- To verify worksheet (Risk Control Matrix) scoresheet for each branch audit and keep in record.
- Mentor new joinees and guide them on all policy matters and Field Audit Process.
- To coordinate with owning department for audit issue tracking and closure
Size of the Role
- Financial size NA
- Non-financial size Ensure to conduct Branch Audit as per the Audit plan
Key Duties Responsibilities of the Role
Business/Financials
- Execution of audits
- Adopting and Implementing Risk Based audit methodology, planning the audit schedule for state/ region with the Regional Audit Manager to ensure all the branches are covered in line with annual audit plan.
- Ensure to conduct/ cover process and thematic audit as and when required as per Annual Audit Plan.
- Efficient allocation of Audit Assignment among the team members.
- Ensure to cover scope of audit as per applicable Risk Control Matrix for Branch Banking Micro Banking audit.
- Ensuring prescribed samples are covered in each audit.
- Ensure all processes should get visited as per audit methodology for Micro banking audit.
- Review of Audit Work Papers.
- Ensuring Social Service Department audit to be executed as and when required.
- Ensuring accomplishments of Monthly / Quarterly annual audit plan for allotted branches
- Ensuring Branch Fixed Asset Verification as applicable.
- Check adherence of internal policies, processes products with the applicable RBI rules and regulations.
- Highlight design operational level gaps identified during audits to the concerned stakeholders for enhancement of audit.
- Conduct independent branch audits.
Customer (Both Internal External)
- Qualified and cordial relationship to be maintained at all the times with the Auditees during and after the Audit.
- Ensure audit team shares the Daily observation sheet with the Business Team during the audits and the Audit closing meeting is held in the presence of branch supervisors.
- Stringent monitoring of Non-compliances from branches as well as from other functions.
- List of Non-compliant branches / issues to be circulated on a weekly basis with ageing to the Regional Audit Manager.
📌 Audit Manager (Credit Audit) (Kolkata)
🏢 Ujjivan Small Finance Bank
📍 Kolkata
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