Lead - Internal & Business Audit - Broking Firm (8-15 yrs)

Lead - Internal & Business Audit

Job Description:

Role and Responsibilities:

Audit Deliverables:

1. Lead auditor (LA) leads internal audits as per the annual audit plan, evaluates the adequacy and effectiveness of internal controls relating to risks within those business areas and verifies compliance with all applicable laws and regulations.

2. Planning and executing audit fieldwork in line with the agreed audit approach e.g., documenting Activity Flows, identification of key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with standards.

3. LA reviews special investigations from time to time.

4. LA leads the branch inspection reviews, discusses observations with CBOs and finalizes the inspection results.

5. Reviews and provides expert opinion on action plans provided by stakeholders, helping them develop robust remediation plans.

6. LA drafts audit reports including findings and monitors implementation of remedial action plans within agreed timelines.

7. Completes all assigned audit work in line with agreed budgets.

8. Facilitates execution of the annual internal audit plan by ALL external internal auditors within timelines.

9. Liaise with all stakeholders to identify key strategic, regulatory, and operational risk areas.