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Lead-Stock Broking Audit
3 months ago
– BFSI (prior experience of capital market is mandatory)
Base Location:
Mumbai
Position:
Lead – Stock Broking Audits
Experience: 3 -5 years in Internal and Retail and Institutional Broking Audits including half yearly SEBI audits for NSE/BSE/MCX/. Experience of review Margin Trading and Proprietary Trading would be an advantage.
Educational Qualification:
Graduate / MBA / Others
Reporting to:
Manager
Overall purpose of the job:
Independently handling audits execution work as part of a team for Broking Entities covering a detailed end to end review of processes as envisaged in the SEBI half yearly audit checklists.
Responsibilities- Good understanding of capital markets, trading, clearing and settlements, KYC/AML, client onboarding, margin management, regulations governing capital markets, etc.
- Experience in conducting half yearly NSE/BSE/MCX reviews of Stockbrokers
- Good analytical skills, knowledge of advanced excel and ability to maintain good inter-personal relations
- Participate in audit execution in line with the scope agreed with the client.
- Perform daily, weekly, and monthly tasks.
- Report work performed daily.
- Giving status updates to Team Leader and client on periodic basis.
- Participate in detailed walkthroughs to gain understanding of the processes and controls implemented by the client.
- Documenting the work performed and maintaining work papers
- Review adherence with regulatory and statutory compliances
- Conducting audits within the time schedule assigned
- Identifying areas of improvements for each process being audited and recommending the same to the client
- To keep track of all regulatory and other changes in relation to Stock Broking and financial markets.
- Drafting Audit reports detailing findings of audit
- Should have a strong domain across the spectrum of operations for Stockbrokers.
- Should have good oral and written communication skills to articulate queries / observations to clients
- Should have good command over language and grammar
- Should have the ability to grasp / learn and unlearn processes / businesses of our clients.
- Should have good interpersonal skills in interactions with fellow team members, Team Leader and client representatives at all levels
- Should offer training and assistance to new team members, support their skill enhancement, improve their capacity to take more responsibilities.
Package :
As per Market Standards
