Position: Audit & Risk Advisory - Consultant/Assistant Manager/Manager, Mumbai

Skill Set: Audit, Control design assessment , Asset and Wealth management, Global Markets, Capital Market , Third party Risk management , Treasury Audit, Risk control Matrix

Department: GRC - Governance Risk & Compliance Experience: 3 to 10 years Job Type: Full Time Number of Positions: 10 Location: Mumbai

Job Description:

ROLE OVERVIEW:

We are seeking dynamic professionals to join our Audit Risk Advisory team. The ideal candidate will bring hands-on experience in internal audits, risk-based audit methodologies, process improvements, Performing Control design assessment (CDA) and Test of operating effectiveness (TOE) and must have a strong understanding of Asset and Wealth management (AWM), PWM, Global Market (GM), capital markets, including equity and derivative products and Finance, Third party Risk management and Treasury Audit. This role offers exposure to global clients across industries and the opportunity to work on strategic risk consulting engagements.

ROLE RESPONSIBILITIES:

• Conduct risk-based internal audits across varied functions/Banking LOB (including Asset and Wealth management (AWM), PWM, Global Market (GM), capital markets, including equity and derivative products and Finance, Third party Risk management and Treasury, Credit Risk, Operational risk Audit) and geographies conducting process consulting/ internal audit/ risk consulting. • Undertaking process walkthroughs and prepare Risk control Matrix (RCM) for Audit execution. Assess internal controls, identify process gaps, and suggest effective improvements or agreed management action plan. • Strong written documentation of process walkthrough, RCM, Testing and Audit observationSupported/led Audits such as Credit risk, trade management (trade confirmation, trade reconciliation, EOD controls) with strong risk and control understanding • Interacting with Global Stakeholder and discuss the potential observation • Prepare audit reports with clear findings and actionable recommendations • Develop and implement Standard Operating Procedures (SOPs) for process enhancement • Evaluate trading desk operations • Demonstrate strong analytical and stakeholder management skills in client-facing roles

The Ideal Candidate should posses these skills:

• Have experience in Internal Audit/ Risk consulting with Global Bank/Investment bank or its GCC or BIG4 working on these clients.Sound understanding of Global Market and capital market products (equities, futures, options, swaps)Possess strong understanding of various line of business with global bank and trade lifecyclePossess strong domain knowledge on securities related regulations related to PRAAbility to perform and interpret process gap analysis • Strong written and verbal communication skills (presentation skills) • Understanding of control rationalization, optimization, effectiveness and efficiency • Hands on experience in Data Analytics, Tableau and Data visualizationComfortable managing multiple engagements across functionsWillingness to travel

QUALIFICATION:

• Qualified CAs with articleship from Big-4 firms, MBAs from top 10 Business Schools with 2 to 8 years of experience in risk consulting/ internal audits, Global market, capital markets, operations or compliance function role in the industry (Understanding of internal audit, business processes, sector understanding). • Certifications like Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA) would be an added advantage.

SELECTION PROCESS:

• Candidates should expect 2 to 3 rounds of personal or telephonic interviews to assess fitment and communication skills

COMPENSATION:

• Compensation is competitive with industry standards • Details of the compensation breakup will be shared with short-listed candidates only

Additional Information: • No. of positions: 10 • Experience range: 3 to 10 years • Location: Mumbai • Interview process: 2 to 3 rounds

2 rounds virtual (Final round could be F2F/ Virtual)

Required Qualification/Education: Master of Business Administration (M.B.A.) CA (Charted Accountant)

With a Top MNC Consulting Firm