DM / Manager Internal Audit for a
Leading Financial Services Company in Mumbai having Global Presence.
Location: Mumbai
Experience: AM - 2-3 years and DM - 4-5 years (Post Qualification)
Qualification: CA / IIA
Job Role:
To carry out Internal Audit engagements for Mumbai and other parts of the group in lead capacity under the supervision and guidance of BU Managers within GwIA. May require management of multiple assignments/
Acting in the capacity of Lead Auditor/ Project in-charge
* Plan one or more audit assignments simultaneously. This will
involve collating information on the area being audited including key
systems, organizational structure, financial and budgetary information, any
legal or regulatory requirements etc. The planned phase will involve
dialogue and interviews with the management responsible for the area being
audited. The Manager should then brief the audit team on their respective
roles. The BU Audit Manager should also be kept informed on the evolution of
the planning work.
* Being able to properly assimilate the information provided by the
BU Audit Manager from the Planning phase of the audit when acting as a Lead
Auditor. The Manager should be able to understand the business background of
the area being audited; and their role in the audit assignment.
* Document the key processes and associated controls being examined
in the audit - the Manager would be involved in the more complex activities
being reviewed. This will involve the use of flowcharts where necessary. The
Manager should be able to complete a control and risk assessment matrix
following their documentation of the systems and processes being reviewed.
* Create a Test Programme to check that the controls identified in
the risk assessment exercise are working properly.
* Address any review points raised by the GwIA Audit Manager/ QRA.
* Draft audit conclusions based on control and risk evaluation and
associated testing. Practical recommendations for any remedial action should
be made.
* Review the working papers of Auditors on the assignment to ensure
they comply with the agreed standards. This may involve drafting review
points.
* Review, and amend as necessary, the testing programmes prepared by
the Auditors.
* Perform testing as required.
* Required to have a good working relationship with Audit Directors
and other members of the Internal Audit management team.
* Draft the internal audit report for discussion with the GwIA Audit
Manager and Auditee management.
* Responsible for discussing the audit report and findings with
senior line management and for ensuring that appropriate responses are
obtained for each issue raised in the report.
* Ensuring a post audit review is conducted at the end of each audit
assignment in line with the GwIA audit methodology.
* Key accountabilities include building and sustaining good working
relationships with senior operational line management.
THIS JOB WILL INVOLVE SIGNIFICANT TRAVEL OUTSIDE INDIA.
Competence / Knowledge / Skills required
* Practical and theoretical knowledge of business risk and control
frameworks and how these map to evolving regulatory requirements (e.g.
Sarbanes-Oxley)
* Chartered Accountancy/ IIA or other professional business-related
qualification
* Advanced report writing & review skills.
* Advanced presentation and facilitation skills
* Analytical thinking/decision making.
* Building relationships at all levels.
* Commercial awareness.
* Planning and organisational skills.
* IT audit / IS/IT skills are beneficial
* Encourage auditor involvement in office and other professional
meetings outside the project.
* Understand the Senior Management and Audit Committees
expectations.
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