Quality Auditing Analyst

Skill required: Capital Markets Services - Instrument Reference Data Management


Designation: Quality Auditing Analyst


Qualifications:BCom


Years of Experience:3 to 5 years

Intelligent Operations centers. Our 784,000 people deliver on the promise of technology and human ingenuity every day, serving clients in more than 120 countries.


What would you do The Analyst Quality Audit is responsible for independently reviewing operational transactions and processes across Asset Management Operations. The role ensures adherence to standard operating procedures, client requirements, regulatory guidelines, and internal control standards. The incumbent will identify defects and control gaps, perform root-cause analysis, provide actionable feedback, and support continuous improvement initiatives to strengthen quality, accuracy, and risk management.


What are we looking for

Graduate degree in Commerce, Finance, Business Administration, or a related discipline; an MBA is preferred.

Four to six years of experience in quality audit, quality assurance, risk and controls, or Asset Management/Investment Banking Operations.

Sound understanding of trade lifecycle activities, including confirmation, settlement, reconciliation, cash and position breaks, and exception management.

Knowledge of audit methodologies, sampling techniques, defect classification, root-cause analysis, corrective action tracking, and quality reporting.

Strong analytical ability, attention to detail, professional judgment, and the ability to interpret procedures and control requirements consistently.

Strong verbal and written communication skills, with the ability to present findings constructively and engage stakeholders professionally.

Good working knowledge of Microsoft Office, particularly Excel, PowerPoint, and Word; experience with quality dashboards or workflow tools is desirable.

Self-motivated, objective, collaborative, and capable of managing multiple priorities in a complex, deadline-driven environment.

Willingness to work night shifts between 4:00 p.m. and 2:00 a.m. IST, work from the office 100%, and support operations on Indian holidays when required.


Roles and Responsibilities:

Conduct independent quality audits of trade processing, confirmation, settlement, reconciliation, and exception-management activities across equity and fixed income products.

Evaluate transactions against approved standard operating procedures, client instructions, service-level agreements, regulatory requirements, and internal control standards.

Perform sample-based and risk-based reviews to validate processing accuracy, completeness, timeliness, documentation, and authorization.

Identify, classify, and document defects, control gaps, recurring errors, and potential operational or financial risks.

Analyze root causes of audit findings, including booking errors, settlement delays, reconciliation breaks, corporate-action impacts, procedural gaps, and timing differences.

Provide clear, evidence-based feedback to operations teams and recommend corrective and preventive actions.

Track audit findings and action plans through closure, validating that remediation is effective and completed within agreed timelines.

Prepare and maintain accurate quality reports, audit logs, defect trackers, trend analyses, and management information dashboards.

Monitor quality performance against agreed targets and highlight significant trends, repeat defects, and emerging risks to relevant stakeholders.

Facilitate defect-calibration sessions with operations, training, and subject matter experts to ensure consistent interpretation of quality standards.

Act as an escalation point for critical quality issues and communicate findings promptly to process leads and management.

Support process reviews, control assessments, internal audits, client audits, and compliance testing by providing complete and accurate evidence.

Partner with operations and training teams to improve procedures, control design, knowledge content, and team capability based on audit insights.

Maintain audit independence, confidentiality, professional judgment, and complete documentation in all reviews.

Complete assigned audits, mandatory training, and other quality-related deliverables within defined timelines


Qualification BCom