Manager/Senior Manager; Internal Audit - CA

About Company

The client is an India-focused, Technology enabled SME Finance Platform. Financing that serves the latent yet burgeoning demand which is unmet by conventional lenders. They focus on being a partner credit institution that seek to provide bespoke financial solutions to Small and Medium Enterprises (SMEs) for their growth and working capital requirements.

Headquartered in Mumbai, It is a Non-Banking Financing company helmed by a young and proven team of professionals.

Job Description

Audit Planning and Execution:
•Develop, implement, and monitor the annual audit plan.
•Lead and manage internal/concurrent audits and other required audits.

Risk Management:
•Review, documentation, pre- and post-disbursement conditions and monitoring practices and controls
•Assess the Early Warning Signal identification mechanism and its effectiveness
•Identify, assess, and manage the company’s financial risk.
•Recommend risk mitigation strategies to senior management.
•Work closely with the Risk Management team to ensure a coordinated approach to risk management.

Regulatory Compliance:
•Strong familiarity with Companies Act, RBI / NHB and other regulatory requirements.
•Significant experience in developing, testing, and assessing internal controls.
•Knowledge and understanding of the HFC, NBFC and Banking systems, internal control, and reporting processes.
•Ensure the company’s compliance with all applicable laws, regulations, and standards.
•Keep abreast of changes in regulatory requirements and industry best practices.

Reporting and Communication:
Prepare comprehensive audit reports for senior management and the Board of Directors.
•Communicate audit findings and recommendations to relevant stakeholders.
•Undertake audits, special investigations, or reviews at the request of Audit Committee of Board (ACB), Senior Management.
•Preparation of Business Understanding Document and Audit Checklist ensuring adequate audit scope coverage.
•Travel to branches PAN India for audits as and when required
•Follow up on audit findings to ensure that corrective actions are implemented.

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