Manager - Internal Audit (Stockbroking)

Key Deliverables

• Lead risk-based internal audits for stock broking, DP operations, trading, and client onboarding
• Ensure compliance with SEBI, NSE, BSE, NSDL, and CDSL capital market regulations
• Prepare and review comprehensive audit documentation including RCMs, reports, and flowcharts
• Identify root causes and recommend corrective actions using structured methodologies like the 5 Whys

Role Responsibilities

• Facilitate discussions with stakeholders on audit findings and remediation plans
• Manage end-to-end audit lifecycle including scoping, execution, reporting, and follow-ups
• Lead audit teams, plan resources, and manage audit budgets
• Provide insights through quantitative analysis and drive continuous process improvement