Internal Audit - Financial Services

Protiviti India; Gurugram District; On-site; INR 900,000 - 1,500,000; Full time

Job summary

Protiviti India is seeking an Internal Audit - Financial Services professional for the Gurgaon area. The role focuses on risk-based audits across banking, NBFC, FinTech, and related sectors, ensuring regulatory compliance and strong internal controls.

You will execute audits, map processes, and discuss findings with client stakeholders, contributing to governance and remediation planning. A 2–8 year background in FS audits is ideal.

Qualifications

• 2-8 years of experience in internal audits or related controls roles.

Responsibilities

• Execute risk-based internal audits for Financial Services clients.
• Perform process reviews and evaluate internal controls across business functions.
• Conduct Risk & Control Matrix (RCM) walkthroughs and testing.
• Identify control gaps and recommend remediation measures.
• Assess compliance with RBI, SEBI, IRDAI, FEMA, AML/KYC, and other regulations.
• Prepare audit workpapers, observations, and audit reports.
• Participate in audit planning, fieldwork, reporting, and follow-up activities.
• Review processes to improve governance and efficiency.
• Interact with client stakeholders to discuss findings and closure plans.
• Support SOX/IFC testing and risk assessments where required.

Skills

Internal Audit methodology

Risk management

Regulatory knowledge (RBI/SEBI/AML/KYC

Stakeholder management

Analytical skills

Communication skills

Education

CA / CA Inter / MBA (Finance) / B.Com / M.Com.

CIA / CISA / FRM or similar certifications

Tools

Excel

PowerPoint

Audit tools

Job description

An Internal Audit Financial Services role based in Gurgaon/Gurugram, aligned with openings commonly seen at Big 4 firms and consulting organizations.

Job Title

Internal Audit - Financial Services (Domestic Market) only

Location: Gurgaon (5 days office)

Experience: 2-8 Years

Industry: Banking / NBFC / FinTech / Insurance / Capital Markets

Job Responsibilities

• Execute risk-based internal audits for Financial Services clients.
• Perform process reviews and evaluate internal controls across business functions.
• Conduct Risk & Control Matrix (RCM) walkthroughs and testing.
• Identify control gaps and recommend practical remediation measures.
• Assess compliance with RBI, SEBI, IRDAI, FEMA, AML/KYC, and other applicable regulations.
• Prepare audit workpapers, observations, and audit reports.
• Participate in audit planning, fieldwork, reporting, and follow-up activities.
• Review operational, financial, and regulatory processes to improve governance.
• Interact with client stakeholders to discuss audit findings and closure plans.
• Support SOX/IFC testing, process documentation, and risk assessments where required.

Required Skills

• Strong understanding of Internal Audit methodology.
• Experience in Banking, NBFC, Insurance, FinTech, Asset Management, or Capital Markets.
• Knowledge of risk management and internal controls.
• Experience with RCMs, SOPs, process mapping, and audit documentation.
• Familiarity with RBI/SEBI/AML/KYC regulations.
• Excellent analytical, communication, and stakeholder management skills.
• Good working knowledge of Excel, PowerPoint, and audit tools.

Preferred Qualifications

• CA / CA Inter / MBA (Finance) / B.Com / M.Com.
• CIA, CISA, FRM, or other relevant certifications are an added advantage