Lead – Audit – Wholesale Audit Support Functions See & Recruit (India)

The Corporate Institute; Mumbai; Presencial; INR 4.000.000 - 6.000.000; Jornada completa

Descripción de la vacante

The Corporate Institute in Mumbai seeks a Chartered Accountant with 12+ years of experience in internal audit and risk management within NBFC/HFC/Banking environments. You will lead risk-based audits, assess controls, and drive remediation across multiple business lines.

Responsibilities include end-to-end audit execution, reporting, and ensuring compliance with regulatory guidelines. Travel across locations PAN India may be required.

Formación

• CA with 12+ years in internal audit and risk management of NBFC/HFC/Banking sectors.

Responsabilidades

• Lead end-to-end internal audits across business verticals (Retail Assets, Wholesale/Credit, Support functions).
• Develop risk-based audit plans, BUDs, and checklists; perform fieldwork, testing, and reporting.
• Evaluate compliance with policies, SOPs, regulatory guidelines, and governance standards.

Conocimientos

Internal controls

Risk management

Audit execution

Analytical skills

Stakeholder management

Team leadership

Regulatory knowledge

Educación

Chartered Accountant (CA)

Descripción del empleo

QUALIFICATION: Chartered Accountant

Location Mumbai

Strong familiarity with Companies Act, RBI / NHB and other regulatory requirements.

• – Significant experience in developing, testing, and assessing internal controls.
• – Strong analytical skill with knowledge and understanding of the HFC, NBFC and Banking systems, internal control, and reporting processes.
• – 12+ years of total work experience in internal audit and risk management of NBFC/ HFC/ Banking, and reputed audit firms.
• – Experience in undertaking audit for wholesale/credit or support functions or retail asset products.
• Conduct risk-based internal audits across business verticals including Retail Assets, Wholesale/Credit, and Support functions (Treasury, Finance, HR, IT, etc.)
• – Perform independent assessments of business processes, controls, documentation, underwriting, monitoring mechanisms, and operational practices to identify associated risks and mitigants.
• – Evaluate adherence to internal policies, SOPs, regulatory guidelines, and governance standards, and highlight deviations or control weaknesses.
• – Review effectiveness of risk monitoring frameworks including Early Warning Signals (EWS), exception management, portfolio monitoring, and escalation mechanisms, where applicable.
• – Identify gaps in process design, control execution, and risk management practices, and recommend practical corrective and preventive actions.
• – Undertake thematic reviews, special audits, investigations, or assignments as directed by Senior Management, Audit Committee of the Board(ACB), or Regulators.
• – Prepare Business Understanding Documents (BUDs), risk assessments, audit plans, and checklists to ensure comprehensive audit coverage.
• – Execute audits end-to- end including planning, fieldwork, testing, documentation, stakeholder discussions, reporting, and closure tracking.
• – Draft clear, concise, and actionable audit reports supported by adequate documentation and evidence.
• – Monitor closure of audit observations and assess effectiveness of remediation actions implemented by auditees.
• – Collaborate with cross-functional teams and stakeholders to drive timely resolution of audit findings and strengthen internal controls.
• – Lead, guide, and mentor audit team members by reviewing workpapers, providing direction, and ensuring quality and consistency in audit execution.
• – Stay updated on industry practices, emerging risks, regulatory developments, and changes in the NBFC and financial services landscape.
• – Travelacross locations/branches PAN India as required for audit assignments.