Internal Auditor - NBFC and Trading Accounting

Sashr Consultants; Mumbai; On-site; INR 600,000 - 1,200,000; Full time

Job summary

Sashr Consultants in Mumbai seeks an Internal Auditor with 3–5 years of relevant experience to manage internal audit assignments, evaluate processes and controls, identify risks and recommend improvements.

The ideal candidate should have experience in Internal Audit within Trading Firms, NBFCs or Financial Services, with a strong understanding of risk, controls and audit processes. Proficiency in MS Excel and MS Office is expected, along with strong report writing skills.

Qualifications

• 3–5 years of relevant Internal Audit experience.
• Experience in Trading Firms, NBFCs, Broking, Financial Services or BFSI.
• Strong understanding of Internal Audit, Risk Assessment and Internal Controls.
• Experience in independently handling audit assignments from planning to reporting and closure.
• Good analytical and problem-solving skills.

Responsibilities

• Plan and execute internal and risk-based audits across functions.
• Review processes and controls for effectiveness.
• Identify control gaps and recommend corrective actions.
• Perform transaction tests and verify documents.
• Ensure compliance with internal policies and procedures.
• Prepare working papers, observations and audit reports.
• Discuss findings with process owners and track actions to closure.
• Coordinate with stakeholders to obtain information.

Skills

Internal Audit

Risk Assessment

Internal Controls

Analytical Skills

Communication

Stakeholder Management

MS Excel

MS Office

Education

CA / CA Inter / MBA Finance

Tools

MS Office

Job description

Job Description Internal Auditor

Position: Internal Auditor
Experience: 3–5 Years
Industry: Trading / NBFC / Financial Services
Location: Mumbai

About the Role

We are looking for an Internal Auditor with 3–5 years of relevant experience to manage internal audit assignments, evaluate business processes and controls, identify risks and recommend improvements.

The ideal candidate should have experience in Internal Audit within Trading Firms, NBFCs or Financial Services, with a strong understanding of risk, controls and audit processes.

Key Responsibilities

• Plan and execute internal and risk-based audits across various business and support functions.
• Review business processes, policies and procedures to assess the effectiveness of internal controls.
• Identify control gaps, process weaknesses and operational risks and recommend corrective measures.
• Conduct transaction and sample testing and verify supporting documents.
• Review financial and operational processes to ensure compliance with internal policies and procedures.
• Prepare audit working papers, observations and detailed audit reports.
• Discuss audit findings with process owners and obtain management responses.
• Track and follow up on audit observations and corrective actions until closure.
• Conduct special reviews or investigations as required by management.
• Assist in identifying potential financial, operational and compliance risks.
• Recommend improvements to strengthen internal controls and business processes.
• Maintain proper audit documentation and ensure timely completion of audit assignments.
• Coordinate with various stakeholders to obtain information and close audit requirements.

Candidate Profile

• 3–5 years of relevant Internal Audit experience.
• Experience in Trading Firms, NBFCs, Broking, Financial Services or BFSI is preferred.
• Strong understanding of Internal Audit, Risk Assessment and Internal Controls.
• Experience in independently handling audit assignments from planning to reporting and closure.
• Good analytical and problem-solving skills.
• Strong understanding of business and financial processes.
• Good communication and stakeholder management skills.
• Strong report writing and documentation skills.
• Good working knowledge of MS Excel and MS Office.
• CA / CA Inter / MBA Finance / relevant professional qualification will be an added advantage.