13 Compliance Audit Jobs

Role Summary: The jobholder will assist the Internal Audit (IA) department in executing the strategy pertaining to operational, financial, compliance audits.The jobholder will ensure successful completion of assigned audit engagements, from start to finish, inclusive of preplanning and wrap up activities. Communicate identified issues to ensure any potential concerns are addressed in a timely and effective manner. Experience 3 to 5 years in Internal Audit only D Key Result Areas Perform specialized auditing of a broad range of operational, financial and compliance functions as set out in the annual audit plan; Review the area to be audited and understand the scope of the audit Review previous audit reports, if any, to check clearance of key issues Prepare preliminary risk assessment matrix (RAM), identifying key risks and controls in the audit area Prepare audit programs and detailed audit work papers incorporating test schedules, observations, and audit conclusions; Complete work paper documentation in audit software - Teammate (TM) and ensure all work papers contain sufficient supporting documentation and have been properly referenced on Team Mate; Perform walk through along with the process owners and prepare process flowcharts Test the existing controls in place, conclude on the adequacy, effectiveness and efficiency of key controls tested and recommend action plan to address the risks where controls are weak; Perform compliance and substantive testing as per audit program Draft audit issues / reports as per GIA's audit methodology Comply with Quality Assurance checklists to ensure that working papers are complete and serve as a stand-alone reference to support audit findings; Assist in special jobs/ fraud investigation reviews whenever needed. Discuss audit issues with operational management and ensure factual accuracy of the issues Submit report to audit engagement manager for review Input final audit report into TM, before formal issuance Participate in risk mitigation plans, contingency planning, business continuity programs by executing and reporting within defined timelines. Highlight and recommend process gaps, flaws and process changes. MUST HAVE Excellent skills in Microsoft EXCEL and good aptitude to adopt new system . Role & responsibilities Skills Required Technical Good knowledge of internal audit concepts and methodology. Good knowledge / experience of operational, financial and compliance audit Excellent knowledge of MS Excel and good control over keyboard command while using Excel Proficiency in use of computers, including MS Word and PowerPoint. Strong written and oral communication skills Behavioral Professional Skepticism, high energy level and initiative, team player

1. Preparing Documents for Customers audit . 2. Addressing the audit queries. 3. Salary Grievance. 4. PF & ESIC Grievance. 5. Attending the Darbar Meeting. 6. Communicating to the concern authority with regards to Accident & Death cases. 7.Preparing employees Full & Final Settlement . Preferred candidate profile Perks and benefits

As a member of our Medical Device team, you will not only manage a small team of globally based Product Assessors but also dive deep into the exciting world of Active Medical Devices. Your responsibilities will include: Supporting and guiding your team of talented Product Assessors Conducting thorough technical documentation reviews and ensuring compliance with EU regulations and standards. Collaborating with cross-functional teams to increase efficiency and quality Monitoring the teams technical competence, KPIs, and wellbeing and providing feedback and support when there are concerns. Conduct recruitment, including reviewing CVs and undertaking interviews and supporting with onboarding of new starters Develop training and present the training to others in SGS or externally as deemed necessary. Assist with technical queries and those related to sales within the Active Medical Devices field. Ensure that the highest level of service is provided throughout the SGS network offering medical devices certification and stakeholders through efficient service delivery.

Job Summary The Internal Audit Executive will be responsible for evaluating internal controls, risk management processes, and compliance with company policies and regulatory requirements. This role involves conducting risk-based internal audits, identifying process gaps, and recommending improvements to enhance operational efficiency and governance. Key Responsibilities: Audit Planning & Execution Assist in planning and executing internal audit assignments as per the annual audit plan. Conduct risk-based audits to assess the effectiveness of internal controls and compliance with company policies. Identify gaps in processes, systems, and controls, and recommend corrective actions. Process Review & Compliance Perform walkthroughs and test controls to evaluate operational effectiveness. Review financial and operational records to detect errors, fraud, or inefficiencies. Ensure compliance with regulatory frameworks, industry best practices, and internal policies. Reporting & Documentation Prepare audit reports with findings, root cause analysis, and actionable recommendations. Follow up on audit observations and track the implementation of corrective actions. Maintain proper audit documentation and working papers as per audit standards. Stakeholder Communication & Risk Assessment Collaborate with process owners to identify key risks and recommend risk mitigation measures. Provide insights and recommendations to management for process improvements. Assist in special audits, investigations, and ad-hoc reviews as required. Qualifications & Experience: Education : CA-Inter / Semi-Qualified CA / M.Com / B.Com with relevant experience. Experience: 1-4 years of experience in internal audit, risk management, or compliance. Technical Skills: Strong understanding of internal controls, risk assessment methodologies, and corporate governance. Knowledge of financial reporting, taxation, and compliance requirements. Experience with ERP systems (SAP, Oracle, Tally, etc.) and audit tools. Familiarity with internal audit frameworks such as COSO, SOX, and risk-based auditing approaches. Soft Skills: Strong analytical and problem-solving abilities. Excellent communication and report-writing skills. Ability to work independently and in a team environment. Attention to detail and ability to meet deadlines. The candidate may require to travel to client locations during the audits. Role & responsibilities Preferred candidate profile Perks and benefits

Key Responsibilities: Monitor and enforce compliance with statutory regulations, company policies, and industry standards within the zone. Conduct regular audits and inspections of sites and operations to ensure adherence to compliance requirements. Identify compliance risks and work with operational teams to implement corrective actions. Liaise with regulatory authorities and ensure timely submission of required reports and documentation. Lead compliance training sessions and awareness programs for staff across the zone. Prepare and present compliance reports to senior management and recommend improvements. Investigate compliance incidents or breaches and coordinate with relevant departments for resolution. Support the development and implementation of compliance frameworks and best practices. Stay updated with changes in laws, regulations, and industry standards affecting the security sector. Qualifications & Skills: Bachelors degree in Law, Business Administration, Security Management, or related field. Proven experience in compliance management, preferably within the security or related industry. Strong knowledge of regulatory requirements applicable to security operations. Excellent analytical and problem-solving skills. Ability to conduct audits and prepare detailed compliance reports. Strong communication and interpersonal skills. Leadership skills with the ability to influence and train teams. Proficiency in MS Office and compliance management software. Willingness to travel within the zone as required. What We Offer: Opportunity to work with a global leader in security services. Dynamic and supportive work environment. Competitive salary and benefits package. Career growth and development opportunities

Job Overview: We are seeking a dynamic and detail-oriented professional to join our Internal Audit team. The ideal candidate will be a qualified Chartered Accountant with strong internal audit experience in the manufacturing sector, SAP system exposure, and a readiness to travel extensively for audits. Key Responsibilities: Plan and execute risk-based internal audits across plants, warehouses, and head office functions. Conduct process audits, operational audits, and compliance reviews to assess control effectiveness. Evaluate the adequacy of internal controls in business processes, financial transactions, inventory management, procurement, and production cycles. Identify control gaps, process inefficiencies, and risk exposures; recommend practical, value-added solutions. Perform audits using SAP ERP modules (FI, MM, SD, PP, etc.) to extract, analyze, and verify data. Prepare detailed audit reports with observations, risk implications, and actionable recommendations. Follow up on audit observations to ensure timely closure of corrective and preventive actions. Collaborate with cross-functional teams to drive internal control improvements and process standardization. Present audit findings to senior management and support external auditors with internal control documentation. Stay updated with industry best practices, regulatory changes, and internal audit methodologies. Candidate Requirements: Education: Chartered Accountant (CA) 1st Attempt preferred Experience: 23 years of post-qualification experience in Internal Audit only Industry Exposure: Must have worked in the manufacturing industry (IT, BFSI, and service sector experience will not be considered) Technical Skills: Hands-on experience with SAP ERP is mandatory Proficient in MS Excel, Word, PowerPoint, and data analysis tools Soft Skills: Strong analytical and problem-solving skills Excellent written and verbal communication Ability to work independently and manage multiple assignments High integrity and professional ethics Travel: Willingness to travel ~100 days annually across audit locations Preferred Background: Candidates from Big 4 firms or reputed internal audit consultancies will be given preference Availability: Immediate joiners or candidates with =30 days notice Skills : - Internal Audit Assistant Manager Internal Audit Manager Internal Audit Audit Manager Risk-Based Audit Process Audit Operational Audit Compliance Audit

Key Responsibilities • Audit Planning & Execution: Develop and implement risk-based audit plans, conducting thorough audits of financial records, operational processes, and internal controls. • Regulatory Compliance: Ensure compliance with relevant financial regulations, standards, and internal policies, identifying areas of non-compliance and recommending corrective actions. • Risk Assessment: Evaluate and assess financial and operational risks, providing insights and recommendations to mitigate potential issue. • Reporting & Documentation: Prepare detailed audit reports, documenting findings, implications, and recommendations for management and stakeholders. • Stakeholder Collaboration: Work closely with various departments to promote a culture of compliance and continuous improvement. • Continuous Monitoring: Monitor the implementation of audit recommendations and corrective actions, ensuring timely and effective resolution

- Preparation, review & filing of necessary statutory forms & returns with MCA, SEBI, Stock Exchanges & other regulatory bodies - Maintaining statutory registers, records, and minutes of Board, Committee & Shareholders’ meetings Required Candidate profile - 1 year or more with a Practicing CS firm - Handled compliance, advisory assignments & client interactions - Review corporate records, agreements & filings to identify legal and regulatory risks

Team: Compliance Audit Qualification: Lawyer / Lawyer & CS preferred Technical Skills: 1. Good understanding of regulatory environment including Labour, EHS, Finance & Taxation, Secretarial, Industry specific and Other laws 2. Had independently conducted Compliance Applicability assessments and Audits for various industries covering manufacturing plants, mines, warehouses and offices. 3. Hands on Experience on legal compliance audits for large and mid-size corporates 4. Updated with the latest regulatory changes in Indian regulatory environment Responsibilities: Independently ensure planning and execution of audits Physical verification of the compliance documents and site visits Drafting and finalising audit reports, discussion, and closure of reports with auditee & CXO level users. Presentation of reports to senior management Resolution of legal queries of the stakeholders Responsible for Audit Quality and Deliveries About TeamLease Regtech www.teamleaseregtech.com TeamLease Regtech, is India's leading Regulatory Technology (RegTech) solutions company enabling Ease of Doing Business for over 1,557 legal entities across 28 States and 8 Union Territories. TeamLease Regtech offers state-of-the-art multi-tenant, SAAS solution on its web and mobile platforms, integrated with the most comprehensive Legal and Compliance database in India; 1,536 Acts and 69,233 Compliances updated on a near real-time basis covering over 3,000 changes every year. TeamLease Regtech also provides organizations with Compliance and Payroll Outsourcing Services. With 175+ strong in-house Legal, Compliance, and Payroll experts, TL Regtech Caters to end-to-end Labour, EHS, and vendor compliance services for over 450 clients across India.

Regulatory Oversight: 1. Ensure compliance with employment laws, regulations, and organizational policies. 2. Monitor changes in labor laws and update policies accordingly. Policy Development: 3. Frame, Develop, implement, and maintain HR policies and procedures that reflect best practices and legal standards. 4. Regularly review and update compliance-related documents. Training and Awareness: 5. Conduct compliance training programs for employees. Compliance Audits: 6. Plan and execute internal audits to assess adherence to compliance policies. 7. Identify areas for improvement and implement corrective actions. Investigations: 8. Lead investigations into compliance-related complaints or violations. 9. Document findings and recommend disciplinary actions as needed. Record Keeping: 10. Maintain accurate and secure employee records in compliance with legal requirements. 11. Ensure proper documentation of all HR processes and decisions. Reporting: 12. Prepare and present compliance reports to senior management. Advisory Role: 13. Provide guidance to management on HR-related legal matters and compliance issues. 14. Act as a resource for employees regarding compliance concerns. Risk Management: 15. Identify potential compliance risks Location: Malad

Compliance at Corporate office (Central Functions) Monitor & Review of Compliances mapped for different functions at corporate office in the compliance tool. Undertake review /revisit of existing tasks mapped in tool. Periodic meetings with different functions to address their queries/ issues with respect to compliance mapped in tool and apprise them of any changes in regulations. Discussions on new regulations/projects with functions/business to help understand applicability of regulations/compliances. Oversee compliance tool review Oversee the periodic compliance tool review. Lead discussion with stakeholders on gaps identified. Prepare final report with comments and timelines from stakeholders. Follow up on open points of earlier reviews. Compliance Review Assist in planning of onsite review both in house or with the support of external experts Coordination between vendor unit as well as stakeholder for on-site visits On-site visits with vendors for compliance review project. Assist in discussion of gaps identified between vendors & Stakeholders. Ensure issue of final report with timeline and ramification Preparation of presentations on compliance review for senior management. Advisory role Assist in preparing notes on applicability on introduction of new law or amendments or courts order to ensure compliance. Assist on addressing queries from senior management. Consulting vendors as well as do research to understand applicability as well as industries best practices. Others Support team members in handling compliance engagements/projects Key Challenges a. Reporting the Repercussions of Non- compliances can be challenging without access to all relevant facts. b. All conditional compliance will need to rely on the concerned department. c. The non-renewal of compliance or legal research can present challenges.

Hiring for Compliance Analyst in one of our prestigious banking company . Role : FCC Transaction Monitoring Exp : 2-6 years Notice Period : Immediate - 30 days Job Location : Chennai Work Mode: Hybrid Responsibilities Direct Responsibilities I. Roll out and monitor adherence to Compliance Policies Manage Professional Ethics (PE) related activities and controls Ensure adherence to existing Compliance Policies including Personal Account Dealing (PAD) Policy, Gifts & Invitations Policy, Outside Business Interest Policy, Professional Code of Conduct Policy, Anti Bribery and Corruption Policy Review new policies rolled out and implement the same for ISPL, as applicable / appropriate Manage Financial Security (FS) related activities and controls over clients, vendors, employees and operational aspects II. Review of Transition related documents Review Service Level Agreements (SLA), Activity Review Process (ARP) and Risk Assessment (RA) documents from service provider Compliance perspective Interact with the service recipient Compliance team and seek their views / opinions / conditions and ensure all requirements are implemented and managed adequately Maintain repository of transition related Compliance approvals III. Compliance Trainings Conduct and facilitate compliance trainings (mandatory and targeted) for ISPL staff Regularly communicate policies and major changes / highlights through various channels IV. Ensure deployment of robust control framework Rolling out and performing controls based on service recipient compliance/regulatory requirements for offshored activities (e.g. voice recording, Chinese Wall, etc.) and also local requirements and analyzing results of the same to identify and mitigate the relevant risks Coordinate on compliance related incidents and ensure appropriate action plans are put in place Perform regular compliance check and challenge on RCSAs and control plan gap analysis to ensure applicable risks are identified and suitable mitigating controls are in place/proposed Review queries on outsourcing and technical assessments from compliance perspective V. Reporting Preparation of various MIS, dashboards and other compliance reports Contributing Responsibilities Coordination with various departments / mtiers / functions / countries Communication across all levels to ensure management directions including group guidelines are understood Organization & co-ordination of compliance-related awareness-raising and training action Participating in new compliance projects and initiatives Contributing to preparation of compliance decks in various committees and forums Technical & Behavioral Competencies General knowledge of Capital Markets and sound understanding of Financial Security matters Prior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plus Interested candidates please drop your resume to saarumathi.r@kiya.ai or 8946064544

Role & responsibilities Handling Statutory Compliances : Coordinate with PF & ESIC consultants for profile creation, challan validation processing, DOE, KYC, Joint Declarations, claims, dispute settlements if any and return filings. Regularly audit PF UAN and ESIC records to identify and mitigate risks. Ensure compliance with statutory registers, forms, reports, and muster rolls. Manage POSH training sessions, act as POSH Convenor, and maintain case trackers Create and Maintain compliance calendar. Fixing of Annual holiday calendar with reference to S&E guidelines, GOs and NFH rules. Handling Labour Compliance : Ensure placement of updated and relevant forms, notices, notifications& abstracts across Pan-India office premises under Abstract to Display and other statutory requirements. Coordinate Labour Officer visits, inspections, notices and disputes with necessary investigations, findings, action plan and execution for amicable closure with respective labour boards. Risks Register and Compliance Certificate : Perform monthly internal audits on statutory& labour compliance matters. Develop and execute action plans to mitigate risks. HR Audits : Support HR audits related to compliance activities. Work with various stakeholders to conduct necessary investigations and derive inferences. Preferred candidate profile Employees Provident Fund and Miscellaneous Provisions Act Employees State Insurance Corporation Act The Labour Welfare Fund Act Trades on Professions and Callings (State wise) Trade License The Shops and Establishment Act (State wise) The Maternity Benefit Act The Employees compensation Act Payment of Bonus Act Subsistence Allowance CLRA The Industrial Establishment (Conferment of permanent status to workmen) Act The Industrial Establishment (National and Festival Holidays) Act The Equal Remuneration Act The Payment of Gratuity The Payment of Bonu The Minimum Wages The Payment of Wages Sexual Harassment of Women at Workplace Benefits : 5 Days Working Medical Insurance Gratuity