Internal Auditor

Audit Planning and Execution :

• Develop and implement audit frameworks to comply with SEBI SOAP guidelines.
• Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards.
• Evaluate the organizations adherence to SEBI's regulatory requirements and best practices.

Risk Assessment and Mitigation :

• Perform risk assessments for all processes related to the capital market, equity trading, and related activities.
• Identify operational inefficiencies and propose mitigation strategies to minimize risks.
• Monitor and report on risk metrics and key performance indicator.

Compliance with SEBI Guidelines :

• Ensure the organizations processes align with the SEBI SOAP framework, including operational and financial risk management.
• Stay updated with the latest SEBI regulations and amendments related to SOAP guidelines. Liaise with regulatory authorities and provide reports on audit findings, as required.

Documentation and Reporting :

• Prepare detailed audit reports, highlighting observations, compliance gaps, and recommendations for improvement.
• Maintain accurate and comprehensive documentation of audit procedures and outcomes. Present findings and action plans to senior management and relevant stakeholders.

5. Stakeholder Collaboration:

• Work closely with functional heads, risk management teams, and compliance officers to address audit observations.
• Train employees on SEBI SOAP guidelines and operational risk management practices.
• Act as a point of contact for internal and external audits.