Rathi - Head - Internal Audit

Head - Internal Audit

Job Description:

Audit Planning and Execution:

- Develop and implement audit frameworks to comply with SEBI SOAP guidelines.

- Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards.

- Evaluate the organizations adherence to SEBI's regulatory requirements and best practices.

Risk Assessment and Mitigation:

- Perform risk assessments for all processes related to the capital market, equity trading, and related activities.

- Identify operational inefficiencies and propose mitigation strategies to minimize risks.

- Monitor and report on risk metrics and key performance indicators.

Compliance with SEBI Guidelines:

- Ensure the organizations processes align with the SEBI SOAP framework, including operational and financial risk management.

- Stay updated with the latest SEBI regulations and amendments related to SOAP guidelines.

- Liaise with regulatory authorities and provide reports on audit findings, as required.

Documentation and Reporting:

- Prepare detailed audit reports, highlighting observations, compliance gaps, and recommendations for improvement.

- Maintain accurate and comprehensive documentation of audit procedures and outcomes.

- Present findings and action plans to senior management and relevant stakeholders.

Stakeholder Collaboration:

- Work closely with functional heads, risk management teams, and compliance officers to address audit observations.

- Train employees on SEBI SOAP guidelines and operational risk management practices.

- Act as a point of contact for internal and external audits.