Audit Executive

4 days ago

Navi Mumbai, India Snaphunt Full time

The Offer

  • Attractive Salary & Benefits

The Job

Role: Authorised Person Audit

Individuals are responsible for conducting audits of Authorized Persons (AP)  of stockbrokers.

Meaning of AP:  It is an individual or entity appointed by a registered stockbroker to facilitate trading and related activities on their behalf. They act as an intermediary between the stockbroker and clients.


Key Responsibilities:

  • Review and understand the audit requirements for Authorized Persons (APs) in accordance with SEBI and stock exchange regulations.
  • Plan the audit route and finalize arrangements of outstation routes
  • Develop a structured audit plan, prioritizing key compliance areas. Coordinate with the Authorized Person for scheduled audits
  • Conduct examination of scheduled AP’s whether they are adhering to regulatory guidelines.
  • Identify non-compliance issues and recommend corrective actions.
  • Ensure proper documentation of the audit executed

The role involves traveling outside Maharashtra for two weeks each month. All expenses associated with it, will be borne by the company.


You will be responsible for:

  • Planning and executing business risk and other audits activities across various business units.
  • Preparing, scheduling, planning, executive and reviewing internal audits according to the annual audit plans in conjunction with various stakeholders.
  • Evaluating the effectiveness of internal controls to address financial, operational, external, and other relevant risks.
  • Recommending ways to improve internal controls and governance processes.
  • Presenting periodic reports and audit findings to the senior management.
  • Deliver quality auditing services and helping clients meet their reporting requirements by providing an independent verification of their compliance with accounting principles.
  • Reporting audit findings and recommending improvements.
  • Developing and maintaining productive working relationships with clients.

The Profile

  • You have at least 0-1 year experience within a AP Audit External Audit or Internal Audit role, ideally within the Brokerage /Securities Exchange industry.
  • You are adaptable and thrive in changing environments
  • You are a strong team player who can manage multiple stakeholders
  • You are a strong networker & relationship builder
  • You are willing to undertake more than 60% travel.

The Employer

Our client is a pioneer in the field of the securities market for Audit & assurance, SEBI compliance assistance, Process review, Risk management, etc. SKA has successfully managed to serve more than 100+ SEBI intermediaries with the strong support of our 300+ employees PAN India level. With continuous efforts and dedication, Shah Kapadia & Associates has embarked itself among the top 3 CA firms in the Capital market.

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