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UpMan Placements Private Limited
System Process auditor
UpMan Placements Private Limited · posted 1 month ago
Gurugramfinancial services
About the role
BAJAJ CAPITAL LIMITED
Job Description
System and Process Auditor
Gurgaon | Full-Time
About Bajaj Capital
Bajaj Capital operates across wealth management, insurance, lending, and broking under regulatory frameworks governed by SEBI, AMFI, IRDAI, and RBI. As we scale our digital and AI-native platforms, maintaining operational excellence and regulatory compliance across every team is mission-critical.
Role Overview
The System and Process Auditor is a senior cross-functional role reporting directly to Leadership. You will audit the completeness, correctness, and compliance of all product operations, engineering processes, support functions, and technology controls across Bajaj Capital's business units. This is not a passive review role — you will identify gaps, raise findings, track resolutions, and drive continuous improvement and regulatory readiness across every team.
Key Responsibilities
- Conduct end-to-end audits of product operations, engineering delivery processes, IT controls, support completeness, and customer-facing workflows across all business verticals.
- Evaluate adherence to SEBI, AMFI, IRDAI, RBI, and DPDP Act 2023 regulatory requirements across technology systems and operational processes.
- Audit KYC/AML processes: CKYC/CERSI completeness, V-CIP implementation, PAN/Aadhaar verification, Account Aggregator data handling, and PMLA compliance.
- Review engineering best practices across teams: code review standards, CI/CD controls, access management, vulnerability management, incident response, and deployment governance.
- Assess support function completeness: SLA adherence, escalation processes, complaint management (SEBI SCORES compliance), and customer grievance redressal.
- Produce structured audit reports with findings, severity ratings, root-cause analysis, and time-bound remediation plans.
- Track open findings through to closure; conduct follow-up audits to verify remediation effectiveness.
- Develop and maintain an audit calendar covering all teams, systems, and regulatory touchpoints on a quarterly and annual basis.
- Use AI tools to accelerate audit analysis: automated log review, anomaly detection, document compliance checking, and pattern identification.
- Prepare teams for external regulatory audits and inspections (SEBI, AMFI, IRDAI); manage evidence compilation and response documentation.
Required Qualifications
- 8–14 years of experience in IT audit, process audit, or compliance at a BFSI firm, fintech, or Big 4 consulting with BFSI clients.
- Strong knowledge of Indian financial services regulatory frameworks: SEBI circulars, AMFI guidelines, IRDAI regulations, RBI IT Framework, DPDP Act 2023.
- Hands-on familiarity with technology controls: SDLC governance, access controls, data security, API security, cloud compliance, and DevSecOps practices.
- Experience with KYC/AML compliance audit: CKYC, V-CIP, eKYC, PMLA, and Customer Risk Profiling.
- Ability to read and interpret technical documentation, system architecture diagrams, and database schemas.
- Strong written communication: structured audit reports, executive summaries, and board-level presentations.
- CA, CISA, CISSP, or equivalent certification preferred.
Good to Have
- Experience with ISO 27001, SOC 2, PCI-DSS, or CERT-In compliance audits.
- Exposure to AI governance frameworks and audit of AI/ML systems in financial services.
- Prior experience at a SEBI-registered entity, AMC, insurance company, or NBFC.
AI Expectations
- Deploy AI tools for audit acceleration: automated document analysis, compliance gap detection, log anomaly flagging.
- Build or commission AI-assisted dashboards providing real-time visibility into process health across teams.
- Evaluate Bajaj Capital's AI systems for bias, explainability, data privacy, and regulatory compliance.
Location & Reporting
| Location: | Gurgaon, India (On-site) |
| Reporting To: | MD |