About the Role

We are seeking experienced Internal Audit professionals to join our global bank. This role involves conducting risk-based internal audits across various functions and business lines, including Asset and Wealth Management (AWM), Private Wealth Management (PWM), Global Markets (GM), Capital Markets (equity and derivative products), Finance, Third-Party Risk Management, Treasury, Credit Risk, and Operational Risk. Your responsibilities will span process consulting, internal audit, and risk consulting across different geographies.

Key Responsibilities

- Conduct risk-based internal audits across diverse global banking functions.
- Perform process walkthroughs and develop Risk Control Matrices (RCM) for audit execution.
- Assess internal controls, identify process gaps, and recommend effective improvements or management action plans.
- Produce comprehensive written documentation for process walkthroughs, RCMs, testing, and audit observations.
- Support or lead audits, including Credit Risk and Trade Management (trade confirmation, trade reconciliation, EOD controls), demonstrating a strong understanding of risk and controls.
- Engage with global stakeholders to discuss audit observations.
- Prepare clear and concise audit reports with actionable recommendations.
- Develop and implement Standard Operating Procedures (SOPs) for process enhancement.
- Evaluate trading desk operations.
- Apply strong analytical and stakeholder management skills in client-facing interactions.

Ideal Candidate Profile

- Experience in Internal Audit or Risk Consulting within a global bank, investment bank, or a Big Four firm.




- Sound understanding of Global Markets and Capital Markets products (equities, futures, options, swaps).
- Solid knowledge of various global bank business lines and the trade lifecycle.
- Solid domain knowledge of securities-related regulations, particularly from the PRA.
- Ability to perform and interpret process gap analyses.
- Excellent written and verbal communication skills, with strong presentation abilities.
- Understanding of control rationalization, optimization, effectiveness, and efficiency.
- Hands-on experience with Data Analytics, Tableau, and data visualization tools.
- Comfortable managing multiple engagements across different functions.
- Willingness to travel.

Qualifications

- Qualified Chartered Accountants (CAs) with articleship from Big Four firms, or MBAs from reputable Business Schools.
- 3-10 years of experience in risk consulting, internal audits, or relevant industry roles within Global Markets, Capital Markets, Operations, or Compliance functions. This includes a solid grasp of internal audit principles, business processes, and sector-specific knowledge.
- Certifications such as Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) are considered an advantage.

Selection Process

- Candidates can expect 2-3 rounds of interviews. The initial 2 rounds will be virtual, with the final round conducted either in-person or virtually. The focus will be on assessing fitment and communication skills.

Compensation

- Compensation is competitive and aligned with industry standards. Specific details will be shared with shortlisted candidates.

Additional Information

- Number of Positions: 10 (5 Consultant, 3 Assistant Manager, 2 Manager)
- Location: Mumbai

📌 Audit Professional (Internal Audit/Risk Consulting) (Maharashtra)
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📍 Maharashtra