Senior Auditor – Internal Audit (Financial Markets)

About the role

The Senior Auditor will lead internal audit engagements for YES Securities Ltd., covering its stock and commodities broking and depository participant operations. The role ensures audits are performed in line with the approved risk‑based audit plan, internal policies and regulatory standards.

Key responsibilities

• Plan and execute internal audits of broking, depository participant, equity research and Alternate Investment Fund activities.
• Assess governance frameworks, policies, processes, risk management, information security and business continuity.
• Interpret and apply SEBI, depository and exchange regulations to audit findings.
• Oversee concurrent audits, thematic audits and snap audits as required.
• Lead projects to improve audit scope, checklists, and audit planning memoranda.
• Engage with stakeholders, report issues and ensure timely closure.
• Maintain compliance with ISO quality standards and any additional audit‑related tasks.

Required profile

• Minimum 10 years of audit experience in medium to large broking and securities firms in India.
• In‑depth knowledge of retail and institutional broking operations, depository participant business, AIFs and related regulatory guidelines.
• Strong understanding of operational risk, customer grievance handling and compliance processes.
• Ability to manage multiple audit assignments simultaneously and drive issue resolution.
• CA, MBA or equivalent qualification; NISM certifications preferred.

Required skills

What we offer

• Opportunity to work on high‑impact audits within a leading financial services firm.
• Exposure to a broad range of financial market products and regulatory environments.