AM/LAM/MANAGER INTERNAL AUDIT (Maharashtra)

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AM/LAM/MANAGER INTERNAL AUDIT (Maharashtra)

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EXL Service – Date posted: 17 Jun 2019
Understanding business processes and the control environment considering generally accepted accounting principles (GAAP) and regulatory compliance for SOX and MAR
Assessing the adequacy of SOX internal controls and efficiencies in business processes
Documenting SOX process and control activities via flowcharts, narratives, matrices and test scripts, etc.
Execute tests of SOX controls, summarizing and communicating the results / findings to key stakeholders (including senior management)
Engage departments / managers to identify specific business risks that require the establishment of internal controls over financial reporting and perform continuous monitoring activities
Support the maintenance of a library of SOX documentation, including flowcharts, narratives, test scripts and risk matrices
Build strong relationships with SOX process owners and control performers, Internal audit team, and team members
Manage a team in delivering SOX testing engagements including oversight and QA of deliverables

6+ years Experience in financial services industry or with broker / dealer, investment banks
Bachelors /Master degree with Finance/Accounting major or Business Administration along with one of the professional certification such as CIA, CPA or CA is a must
Previous work experience with Big4 or any leading consulting firm or broker dealer firm is big plus

Skills required:

Proficient with US GAAP and financial statement filings such as 10K and 10Q and should have working knowledge of data flow of front to back office systems for broker dealers / Investment Banking firms
Knowledge of the Standard for the Professional Practice of Internal Auditing per the Institute of Internal Auditors
Excellent oral and written communication skills to produce clear and concise factual findings supporting the reported level of assurance
Strong interpersonal skills and ability to work effectively with management and team members
Must have the ability to work independently in a dynamic, fast-paced environment and manage multiple projects/resources simultaneously
Strong knowledge and experience Microsoft Office applications including Excel, Word, Visio…
Source: Careesma

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