CA Fresher

- Audit the Risk Management framework, evaluating how Credit Operational Risk and Market Risk teams monitor risk limits.
- Review the Compliance Department’s processes for tracking regulatory updates, managing regulatory correspondence, and filing mandatory disclosures.
- Evaluate the Financial Crime / Anti-Money Laundering (AML) unit’s transaction monitoring, suspicious transaction reporting (STR), and sanction screening mechanisms.
- Assess the Whistleblower and Fraud Risk Management frameworks to ensure complaints are logged, investigated, and closed objectively.
- Review Human Resources operations, including payroll management, employee background verification, incentive calculations, and separation processes.
- Audit Procurement and Vendor Risk Management, assessing tendering processes, vendor onboarding, contract governance, and SLA compliance.
- Evaluate Corporate Real Estate and Administration controls, including physical branch security, access control systems, and fixed asset management.
- Assess Business Continuity Management (BCM) and Disaster Recovery (DR) plans across corporate locations.
- Verify the health of central accounting systems by reviewing inter-branch accounts,



suspense accounts, and high-value office accounts.
- Audit data privacy protocols and data governance frameworks to prevent leaks of customer or bank-proprietary information.
- Utilize data analytics (SQL, Excel) to test 100% of data populations in payroll, vendor payments, and risk logs.
- Draft evidence-backed audit reports detailing control design failures and operational risks.
- Stay informed about evolving industry trends, regulatory changes, and skilled standards to adapt audit methodologies and practices.

Develop and deliver training programs to enhance audit quality and mentor team members in quality assurance principles.
- Discuss findings with senior heads of Risk, Compliance, HR, and Procurement to establish corrective action plans.

Track and validate the closure of previously raised audit issues
- Prepare comprehensive reports and provide insights to senior management and the audit committee on the quality of audit work and key performance indicators.

Track closure of audit issues and ensure timely remediation by business and operations units.

📌 Auditor (Mumbai)
🏢 Yes Bank
📍 Mumbai