Job Title
- Manager / Senior Manager – Internal Audit

Location:
Mumbai

Experience:
6–12 Years Industry: Financial Services / Capital Markets / Broking / NBFC Qualification: Chartered Accountant (CA) preferred Department: Internal Audit Role Overview We are looking for an experienced Internal Audit skilled to independently plan and execute risk-based internal audits across various business functions. The role involves evaluating internal controls, identifying process gaps, ensuring regulatory compliance, and recommending improvements to strengthen governance and operational efficiency.

Key Responsibilities
• Internal Audit & Risk Assessment: Plan and execute risk-based internal audits across business functions, financial processes, and operational activities.
• Internal Controls: Evaluate the adequacy and effectiveness of internal controls, identify control gaps, and recommend corrective measures.
• Regulatory Compliance: Review adherence to applicable SEBI, RBI, and other regulatory requirements relevant to the Group's businesses.
• Process Improvement: Identify operational inefficiencies, financial risks, and process gaps, and recommend improvements.
• Audit Reporting: Prepare comprehensive audit reports highlighting key observations, risk implications, and actionable recommendations.
• Stakeholder Management: Collaborate with business heads and functional teams to discuss audit findings and implement corrective actions.
• Audit Follow-ups: Track closure of audit observations and ensure timely implementation of agreed action plans.
• Governance & Controls:



Support management in strengthening governance frameworks, SOPs, risk management practices, and internal control mechanisms. Desired Candidate Profile
• 6–12 years of relevant experience in Internal Audit, Risk Assurance, or Internal Controls, preferably within financial services.
• Qualified Chartered Accountant (CA) preferred.
• Strong understanding of internal audit methodologies, risk-based auditing, internal financial controls (IFC), and regulatory compliance.
• Experience auditing financial services businesses such as capital markets, securities broking, NBFCs, investment management, or trading operations.
• Ability to independently manage audit assignments from planning through reporting and closure.
• Strong analytical skills, attention to detail, and stakeholder management capabilities.
• Experience working with senior management and presenting audit observations will be an advantage. Preferred Candidate Background
• Internal Audit professionals from financial services organisations, broking houses, NBFCs, or capital market institutions.
• Candidates from Big 4 or established audit and consulting firms with relevant financial services audit experience.
• Professionals who have managed end-to-end internal audits and worked closely with business and functional leadership. Key Hiring Requirement: Candidates should possess strong financial services domain knowledge, hands-on internal audit experience, and the ability to independently identify risks, evaluate controls, and drive closure of audit observations.

📌 Manager / Senior Manager – Internal Audit (Mumbai)
🏢 Abans Finserv
📍 Mumbai