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.





Identifying potential financial reporting risks(FRR) across processes along with design and implementation gaps.

Taking up with process owners to implement the suggested process improvements and involve in continuous testing of processes to identify any material weaknesses in the internal controls in rocsystem/pesses
Periodic testing of loan softwares for system and process gaps.

Skills

• 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

📌 Senior Manager:audit & Process Afl Mumbai (India)
🏢 Axis Finance
📍 India