Deputy Manager- Member Inspection & Audit (Regulatory)
- National Commodity
- 3 - 4 years
- Mumbai
- 2 months ago
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Job Description
Job Purpose:
Apply professional audit principles, policies and procedures to the regular audit of members, & internal departments to ensure that potential risks are minimized, security and control guidelines are strictly adhered to and also to ensure that efficient and adequate checks and balances exist in work flow processes to achieve compliance.
Key Accountabilities:
1. Audit of Members of Exchange in accordance with established rules and regulations and circular provisions of SEBI with in TAT
2. Establish individual objectives and plans for each team member and supervise their activities and review their work to ensure the timely completion of audit in conformance with acceptable standards.
3. Recommend, through audit reports and policy, processes and procedural changes in any audited area, when justified by audited findings, as a basis for business and managerial process improvement.
4. Monitor the continuing relevance of the current Internal Audit policies procedures and standards to the current and future activities and gain approval for any necessary changes in order to ensure the ongoing validity of the audit processes as a basis for minimizing risk and preventing loss.
5. Review audit results, evaluate the findings, lapses and weaknesses with a view to recommend improvements in the current operating practices and procedures. Communicate any finding of a serious nature to Board/ Audit committee to take immediate corrective action.
6. Analysis of various Data submissions/alerts based data by all MIIs/SEBI and submissions of the reports for the same
7. Conduct of Investor awareness programs/Compliance meets
Skills and Knowledge
- Effective interpersonal verbal and written communication skills
- Good analytical, judgmental and interpretative skills
- Data gathering and interpretation skills
Competencies
- Ability to extract computerized and manual data.
- Ability to perform accounting/ audit research, analyze data and summarize findings in a professional written form.
- Understanding of current accounting and audit principles, policies and internal controls.
Job Classification
Industry: Financial ServicesFunctional Area / Department: BFSI, Investments & TradingRole Category: BFSI, Investments & Trading - OtherRole: BFSI, Investments & Trading - OtherEmployement Type: Full timeContact Details:
Company: National CommodityLocation(s): Mumbai
Keyskills: member inspection SEBI Internal Audit Audit Compliance Inspection policies and procedures audit principles Regulatory Compliance Sebi Regulations
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