Deputy Manager - Internal Audit

Overview

Iia Standards

1) Audit Planning & Risk Assessment

• Contribute to the annual, risk‑based internal audit plan using a controls and risk lens
• Perform risk assessment and scoping for audits across processes
• Define audit objectives, scope, resources, timelines, and testing strategies.

2) Fieldwork & Testing

• Execute audits end‑to‑end: walkthroughs, design and operating effectiveness testing, data analytics, and sampling.
• Evaluate adequacy and effectiveness of Process controls
• Apply CAATs/data analytics (e.g., Excel/SQL/BI/ACL/IDEA) to perform population testing and anomaly detection.

3) Reporting & Stakeholder Management

• Draft high‑quality audit reports with clear risk articulation, root‑cause analysis, practical and time‑bound remediation actions, and graded findings.
• Present findings to management and follow up on action closure; maintain an issues log and track overdue actions.
• Provide insights and thematic trends to support continuous control improvement.

4) Quality, Standards & Governance

• Ensure workpapers and documentation comply with

Iia Standards

• , Internal Audit Methodology, and QA expectations.
• Support external quality assessment preparation and internal QA reviews.
• Safeguard independence and escalate impairment risks promptly.

5) Advisory & Continuous Improvement

• Provide control advisory (non‑assurance) on new initiatives, process redesign, and system implementations while preserving independence.
• Recommend pragmatic, risk‑proportionate enhancements to processes and controls tailored to the brokerage environment.
• Contribute to Internal Audit’s continuous improvement: templates, analytics libraries, knowledge base.
• Required Qualifications & Certifications (any one or more)
• CA
• ,

Cia

Cma

Acca

• ,
• MBA – Finance
• , or equivalent finance/accounting qualification.
• Additional audit/controls certifications are a plus (e.g., CISA, CRMA, ISO 31000, CAMS for AML/CFT).

Experience

• 3–5 years
• of relevant experience in Internal Audit, Risk, or Assurance.
• At least
• 2 years
• within
• financial services
• , ideally
• insurance/insurance brokerage
• services
• .
• Hands-on experience executing risk‑based audits, testing controls, drafting reports, and performing issue follow‑up.
• Exposure to
• regulatory compliance
• ,
• operational
• and
• IT general controls
• preferred.

Technical Skills

• Strong knowledge of internal control frameworks and risk-based auditing in line with

Iia Standards

• .
• Proficiency with

(advanced),

• data analytics
• tools (IDEA/Power BI / ACL) and
• sampling
• techniques.
• Working knowledge of insurance brokerage processes and systems (e.g., broking/placement tools, policy/admin systems, reconciliation tools).
• Familiarity with

Aml And Cft

• , sanctions screening, and customer due diligence controls for brokers.
• Capable of reviewing ITGCs: access, change, backups, incident/problem management, and third‑party risk.
• Excellent report writing and presentation skills.

Tools & Platforms

• Productivity:
• MS Office/365 (Excel, PowerPoint, Word, Teams).
• Analytics:
• Power BI/ ACL/ IDEA (or similar).
• Audit Management:
• AuditBoard, TeamMate+, Pentana, or equivalent
• *(as applicable)*
• .