To prepare yearly DFS Operations Audit Plan in coordination with the Manager/Head of Internal Audit & IT/IS Auditor
To prepare the scope of assignments with respect to DFS audit procedures in coordination with the IT/IS Auditor.
To ensure that the planned audits are completed when expected.
To be Proactive in resolving planning conflicts, delays or ad hoc requests during the year, in coordination with the Manager/Head of Internal Audit.
To exercise the audits for identifying, probing and documenting the audit issues and recommending for improvement.
To conduct the Exit Meetings with the Auditees.
To Draft DFS Audit Reports & the Auditees Rectification Remarks and archive the relevant Evidence, to ensure the completeness, accuracy and validity of audit findings and recommendations.
To finalize the Auditees Ratings in view of their Audit Reports.
To ensure that the engagement audit files are complete in all respects and its archiving is in compliance with the Internal Audit operating policies.
To keep Manager Internal Audit, posted about the Audit Assignments vis-à-vis Actual vs Budget.
Hands-on knowledge about DFS General Controls to assess i.e. DFS Expense & Income Controls, Vouching, Change Management, Information Security, Customer Due Diligence, Account Opening Procedures, DFS related customer transactions and Reconciliation of DFS Ledger
Local Regulatory Requirements in the context.
Effectiveness and Efficiency of DFS Control Environment.
To Identify Control Gaps and Opportunities for Improvement.
Confident about his skill-set & professionally mature.
An objective, logical & enquiring mind.
Planned and well organized approach towards work.
Problem resolving approach
Ability to give constructive feedback.
Results Oriented - who would meet deadlines on assignments, juggle multiple demands and to work with all types of individuals.
Team Player - Collaborate and support colleagues and peers across the organization, while still being able to work independently when needed.
Geared up to keep a creative communication with the Internal Customers to understand their business perspective & their priorities and their issues.
Strong skills in negotiating, relationship building, problem solving, and timely problem escalation.
Ability to build relationships while asking tough questions
To develop & maintain a lateral synergy with other Managers in the IAD.
A sufficient idea about the Policies & Procedures of Branchless Banking Deptt at Head office level.
A sound concept of Internal Control Environment w.r.t COSO Framework.
Review security measures for breaches and corrective action.
Review authorization of sensitive functions and segregation of duties.
Review system development life cycle.
Review Expense and Revenue booking procedures.
Review on-boarding of customers on DFS at Branch level
Review Reconciliation of Mobilizer with CBS
Review treatment of reversals in Mobilizer and CBS.
On-going Review of Customer KYC
Review Reconciliation of Mobilizer with 1Link report
Review of Transactions stuck in middleware.
Review logs of audit trails for all audit activities.
To maintain a perpetual knowledge base of local issues, topics and relevant information.
Eager to pursue professional development opportunities including external and internal training and professional association memberships.
Assist Manager Internal Audit, in hiring, training, and evaluating staff, and taking effective actions to address performance matters.