Designation: Audit Associate / Audit Manager
Compensation: 4 Lakhs to 6 Lakhs
Job Location: BKC / Vashi
I. Role & responsibilities:
A. Transactional Audit
· Verify execution of all required documents for debt transactions.
· Check condition precedent documentation and timelines.
· Ensure Due Diligence Agreements (DTA) and certificates from empanelled professionals (CA, CS, Advocates, Valuers) are in place.
· Confirm In- Principal approval from the Stock Exchange and creation of securities within regulatory timelines.
· Check issuance of Due Diligence certificates (Annexure A & B) and their timelines.
· Validate execution of Debenture Trust Deed (DTD), receipt of ISIN letters, GID/KID availability, listing applications and approvals.
B. Regulatory Audit
· Confirm all procedures for listed transactions comply with SEBI, Companies Act, and other regulatory frameworks.
· Review Preliminary Information Questionnaire (PIQ).
C. Document Audit
· Review documentation for completeness:
· Proper signatures and stamps
· Blanks filled and counter-signed
· Proper dating and custody of originals
D. ERP Audit
· Ensure proper execution and upload of documents into the ERP system.
· Validate accurate data entry including execution dates.
E. DLT Audit
· Confirm necessary entries on the DLT platform by Issuers and Trustees.
· Check covenant entries and cash flow schedule compliance.
· Review deviation approvals (if Due Diligence is not issued via DLT).
· Verify SEBI has been informed in cases of issuer non-compliance.
Work Location: In person
