Associate Manager - Operations Audit & Investigations

To ensure efficient execution of the risk based annual audit plan and spot audits. Thereby provide reasonable assurance on the adequacy of the design and effectiveness of the Bank's internal controls and assist Manager /VP – Internal Audit, to carry out unbiased quality investigations/ special assignments in a timely manner and provide accurate and timely investigation reports to the Board Audit Committee (BAC) and the Management.

The Job:

· To ensure that the Operations Audits, Special Assignments, Investigations, Spot Checks and Process Verifications are carried out in line with the internal audit framework that includes Charters, policies, guidelines and procedures of the bank.

· Check adherence with laid down policies and procedures in the allocated auditable areas.

· Assess risk of all auditable areas allocated based on the Board Approved Risk Assessment framework.

· Assist the Manager Internal Audit in planning, conducting, leading and/ or coordinating Operations Audits and/ or Investigations and / or ad hoc reviews as directed by the Board and BAC based on whistle blown events and at Senior Management request/ as per the annual audit plan.

· Ensure all applicable risks are adequately covered as per the scope, during Operational audits and spot checks.

· Ensure full compliance with the BAC approved audit methodology and framework.

· Carry out surprise verifications/ analyses reports/systems to identify high risk open areas/issues that need immediate rectification and reporting.

· Represent Internal Audit when necessary to coordinate with the External Auditor in providing evidences for the CAFs.

· Proceeding for necessary follow ups and/ or cense checks as per the audit methodology.

· Reviewing of product papers, procedure manuals, guidelines and provide valid feedback.

· Review Management Action plans provided for the Process Improvements/ deficiencies highlighted in Audit Reports/ Investigation Reports along with the timelines.

· To ensure that all audit documents/evidences of the bank & subsidiaries are preserved and maintained for future reference.

· Check adherence to regulatory requirements during regular audits/Investigations.

· Represent Audit for various projects /review meetings where necessary.

· Assist in verifying established controls were followed by the staff under investigation and raise any control gaps in the processes.

· Conversant with the Investigation procedures and necessary representations internally and/ or externally/ in law enforcement authorities and necessary engagements in such instances as when required.

· Having ability to manage audit data analytics requirements independently.

The Person:

· Should be Part Qualified in Banking or Finance OR Degree in any Commerce/Finance Discipline.

· Possess around 07 years of working experience in Audit/Operational Areas of a Bank OR investigation experience of 05 years coupled with industry experience.

· Pay attention to details.

· Must be fully conversant with MS Office Applications and SQL queries/ data retrieval techniques.

The position is at Associate Manager Level.