Manager - Internal Auditor

Position: Internal Audit Manager.

Experience: 6+ Years.

Location: Kolkata.

Qualification: CA/MBA-Finance.

Key responsibility: Internal Audit Coordination.

- Prepared audit checklists and issued half-yearly audit circulars.

- Reviewed Internal Audit Reports and escalated violations for disciplinary action.

- Drafted meeting agendas, minutes, and action letters.

- Coordinated penalty debits with the accounts team and addressed member queries.

Data Analysis & Reporting.

- Collected and analyzed data from other exchanges and internal teams for member evaluation.

- Used analytics tools to generate reports and flag high-risk or financially stressed members.

Limited Purpose Inspections (LPI).

- Scoped and monitored Limited Purpose Inspections based on risk triggers.

- Reviewed reports from regional offices and shared findings with SEBI when required.

IT Coordination.

- Liaised with IT for system enhancement requests and UAT testing.

- Ensured accurate release of updates in the live environment.

- Coordinated BCP activities across regional offices.

Regulatory & Process Management.

- Drove process improvements and submitted updates to the Business Excellence team.

- Responded to SEBI/member compliance queries and maintained regulatory records.

- Managed investor awareness campaigns (email/SMS) using UCC data.