Head - Internal Audit

1. Audit Planning and Execution:

• Develop and implement audit frameworks to comply with SEBI SOAP guidelines.
• Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards.
• Evaluate the organization’s adherence to SEBI's regulatory requirements and best practices.

2. Risk Assessment and Mitigation:

• Perform risk assessments for all processes related to the capital market, equity trading, and related activities.
• Identify operational inefficiencies and propose mitigation strategies to minimize risks.
• Monitor and report on risk metrics and key performance indicators.

3. Compliance with SEBI Guidelines:

• Ensure the organization’s processes align with the SEBI SOAP framework, including operational and financial risk management.
• Stay updated with the latest SEBI regulations and amendments related to SOAP guidelines.
• Liaise with regulatory authorities and provide reports on audit findings, as required.

4. Documentation and Reporting:

• Prepare detailed audit reports, highlighting observations, compliance gaps, and recommendations for improvement.
• Maintain accurate and comprehensive documentation of audit procedures and outcomes.
• Present findings and action plans to senior management and relevant stakeholders.

5. Stakeholder Collaboration:

• Work closely with functional heads, risk management teams, and compliance officers to address audit observations.
• Train employees on SEBI SOAP guidelines and operational risk management practices.
• Act as a point of contact for internal and external audits.