Job Title

Job Title - Senior Auditor – Internal Audit (Financial Markets)Internal Audit Vertical - Financial MarketsJob-description, role, activities and deliverables -· Responsible and accountable for conducting internal audits of YES Securities Ltd. (Stock and Commodities Broking and Depository Participant business), and other audits conducted by the Financial Markets audit vertical· Conduct the internal audits in a time-bound manner as per the approved Risk Based Audit Plan, Internal Audit Policy and Internal Audit Process· Conduct the audits as per the scope of the audits which covers aspects of governance framework, policies, processes, business, products, risks, operations, information security, business continuity etc.· Apply experience, knowledge and understanding to continuously improve the effectiveness of internal controls and efficiency in the processes· Demonstrate sound knowledge of regulatory guidelines on Broking business and operations, Depository Participant business and operations, Equity Research, Alternate Investment Fund (AIF)· Interpret the regulatory guidelines and its applicability and implementation by YES Securities Ltd.· Oversight of concurrent audits for the areas within the vertical· Conduct Thematic audits, Snap Audits, etc. on need-basis· Undertake project(s) to improve and streamline the audit scope, checklists, checkpoints, Audit Planning Memorandum (APM)· Engage with all the stakeholders for audit activities and issues· Adhere to the quality standards as per the ISO normsAny other audit related role and activities as and when assignedEssential competencies -· In-depth knowledge and experience of audit of retail and institutional broking, broking operations, Depository Participant business and operations, Alternate Investment Firms (AIFs), SEBI, Depositories, Exchanges guidelines· Sound knowledge and understanding of operational risks, customer service and grievance redressal, compliances, and attendant processesFlair to work with multiple auditee units simultaneously with a clear focus on closure of audit issuesQualifications and relevant experience -· 10 years of relevant experience in audit of medium to large Broking and Securities firms in IndiaCA / MBA, NISM certifications preferred