Job Title

Audit Deliverables 1. Auditor executes 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. 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. Performs any special investigations from time to time. 4. Assists in agreeing action plans with stakeholders thereby helping the Lead develop robust remediation plans. 5. Assist the Lead in monitoring implementation of remedial action plans within agreed timelines. 6. Completes all assigned audit work in line with agreed budgets. 7. Facilitates execution of the annual internal audit plan by ALL external internal auditors within timelines. 8. Liaise with all stakeholders to identify key strategic, regulatory, and operational risk areas.Stakeholder Management 1. Communicating openly with stakeholders; keeping them informed of potential issues and escalate problems/delays accordingly and presenting audit findings comprehensively and professionally. 2. Proactively developing and maintaining professional working relationships with colleagues 3. Promote the highest standards of ethics and standards across the organization based on the principles of integrity, objectivity, competence and confidentiality.Career Development 1. Taking ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution. 2. Proactively keeping abreast of pertinent industry, regulatory and business practices.Requisite Skills and Experience:1. Audit experience with stockbrokers / BFSI sector / audit firms. 2. Business knowledge and an understanding of the risks and regulatory requirements for Stockbrokers, Capital Markets, and Investment Advisory; 3. Effective verbal, written and negotiation skills; 4. Effective project management skills, influencing and relationship management skills.Education and Certification:1. Qualified CAs 1 to 2 yrs. exp. / newly qualified CAs 2. Working Knowledge of some commonly used data analytics tools i.e., ACL Analytics, Tableau, Power BI etc.About HDFC Securities Ltd (HSL) As a leading entity in India’s stock broking domain and a prominent subsidiary of HDFC Bank, HSL has consistently embraced innovation to excel in an industry characterized by rapid evolution. Since inception in 2000, HSL has been pioneers in leveraging cutting-edge technology to meet the diverse needs of their clientele, including retail and institutional investors. HSL’s focus on understanding and prioritizing customers’ financial goals has led to explore novel investment opportunities across various asset classes, from equities to debt instruments. In a fast-paced environment, HSL’s user-friendly platforms offer seamless trading experiences through online portals, mobile apps, telephone services, and physical branches. By introducing innovative solutions like online IPO and NCD ordering, HSL aims to stay ahead. Providing real-time, data-driven insights and research-backed information empowers investors to make informed decisions aligned with their financial objectives. HSL’s portfolio tracking tools facilitate easy monitoring and adjustment of investments. Aligned with HDFC Bank and boasting a network of over 150 branches, HSL emphasizes exceptional and transparent services, striving to revolutionize the investment experience for clients in an everchanging industry.