Manager / Senior Manager – Internal Audit

ABANS GROUP; Mumbai; On-site; INR 1,500,000 - 2,300,000; Full time

Job summary

ABANS GROUP is seeking an experienced Internal Audit professional to independently plan and execute risk-based audits across functions. The role involves evaluating controls, regulatory compliance (SEBI/RBI), and recommending improvements to strengthen governance and efficiency.

Candidate should have 6–12 years of relevant experience in financial services, be CA preferred, and capable of leading audit assignments end-to-end with strong analytical and stakeholder-management skills.

Qualifications

• 6–12 years of experience in Internal Audit, Risk Assurance, or Internal Controls.
• Chartered Accountant (CA) qualification preferred.
• Strong knowledge of internal audit methodologies, IFC, and regulatory compliance.
• Experience auditing financial services such as capital markets, NBFCs, or broking.
• Ability to independently manage audits from planning to closure.

Responsibilities

• Plan and execute risk-based internal audits across business functions.
• Evaluate internal controls and identify control gaps; recommend improvements.
• Review adherence to SEBI, RBI, and other regulatory requirements.
• Identify inefficiencies and financial risks; propose process improvements.
• Prepare audit reports with observations and actionable recommendations.
• Collaborate with business heads to discuss findings and implement actions.
• Track closure of audit observations and ensure timely actions.
• Support governance frameworks, SOPs, and risk management practices.

Skills

Audit planning

Risk assessment

Stakeholder management

Education

CA preferred

Job description

6 - 12 yrs

Mittal Chamber Second Floor - Mumbai

Full-Time

Job Title - Manager / Senior Manager – Internal Audit

Experience: 6–12 Years

Industry: Financial Services / Capital Markets / Broking / NBFC

Qualification: Chartered Accountant (CA) preferred

Department: Internal Audit

Role Overview

We are looking for an experienced Internal Audit professional to independently plan and execute risk-based internal audits across various business functions. The role involves evaluating internal controls, identifying process gaps, ensuring regulatory compliance, and recommending improvements to strengthen governance and operational efficiency.

Key Responsibilities

• Internal Audit & Risk Assessment: Plan and execute risk-based internal audits across business functions, financial processes, and operational activities.
• Internal Controls: Evaluate the adequacy and effectiveness of internal controls, identify control gaps, and recommend corrective measures.
• Regulatory Compliance: Review adherence to applicable SEBI, RBI, and other regulatory requirements relevant to the Group's businesses.
• Process Improvement: Identify operational inefficiencies, financial risks, and process gaps, and recommend improvements.
• Audit Reporting: Prepare comprehensive audit reports highlighting key observations, risk implications, and actionable recommendations.
• Stakeholder Management: Collaborate with business heads and functional teams to discuss audit findings and implement corrective actions.
• Audit Follow-ups: Track closure of audit observations and ensure timely implementation of agreed action plans.
• Governance & Controls: Support management in strengthening governance frameworks, SOPs, risk management practices, and internal control mechanisms.

Desired Candidate Profile

• 6–12 years of relevant experience in Internal Audit, Risk Assurance, or Internal Controls, preferably within financial services.
• Qualified Chartered Accountant (CA) preferred.
• Strong understanding of internal audit methodologies, risk-based auditing, internal financial controls (IFC), and regulatory compliance and under performance i help …un… i …… ...
• Experience auditing financial services businesses such as capital markets, securities broking, NBFCs, investment management, or trading operations.
• Ability to independently manage audit assignments from planning through reporting and closure.
• Strong analytical skills, attention to detail, and stakeholder management capabilities.
• Experience working with senior management and presenting audit observations will be an advantage.

Preferred Candidate Background

• Internal Audit professionals from financial services organisations, broking houses, NBFCs, or capital market institutions.
• Candidates from Big 4 or established audit and consulting firms with relevant financial services audit experience.
• Professionals who have managed end-to-end internal audits and worked closely with business and functional leadership.

Key Hiring Requirement: Candidates should possess strong financial services domain knowledge, hands-on internal audit experience, and the ability to independently identify risks, evaluate controls, and drive closure of audit observations.