· Should have experience of effectively building relationships with process owners in a positive and proactive manner
· Should be well -versed with framing and conducting Risk Based Internal Audit Plan
Should have worked with NBFCs/Banks and have knowledge Regulatory guidelines and other functional areas
· Should have experience and willingness to quickly gain knowledge of changing business and system
· Should be aware of IFC guidelines as per Companies Act and ICAI
· Risk Based Internal Audits
· IFC/SOX at NBFCs/Banks
Job Profile / Responsibilities
Audit
Conducting process level audits and having knowledge of Wholesale / Retail (Credit and Operations)
along with some of the other functional areas (Risk, Compliance, Treasury, HR, Accounts)
Maintaining adequate work papers and documentation along with adherence to Internal Audit policies and Regulatory guidelines
Drafting of Audit reports and suggesting suitable recommendations to address the process level observations.
Holding effective discussion with senior level management for agreement with findings and closure of observations with adequate management responses
Follow-up of open observations within timelines to ensure closure of observations as per agreed plan
Assisting the HIA in preparing Risk Based Internal Audit plan and completing assigned audits as per plan
IFC
Preparing Risk Control Matrix (RCM) for business processes and conduct of walk throughs with process owners and controls testing.
Suggesting process improvements areas and taking up with business process owners to update SOP and process flow charts.