Call Audits

6 days ago


Navi Mumbai, India Sbicap Securities Full time

Roles & Responsibilities:

  • Review and audit dealer-client call recordings related to order placements.
  • Ensure calls are clear, complete, and accurately reflect trade details.
  • Identify discrepancies, red flags, gaps or violations and instances of non-compliance.
  • Maintain detailed and accurate audit documentation and reports.
  • Work closely with the compliance team to resolve identified issues.
  • Monitor adherence to internal call recording policies and procedures.
  • Generate regular summary reports (MIS) on dealers compliance levels.
  • Participate in training sessions for dealers to reinforce call compliance standards.

Requirements:

  • Strong understanding of stock exchange operations and regulatory frameworks.
  • Excellent attention to detail analytical skills & MS excels.
  • Good communication skills
  • Mandatory : Telugu / Kannada / Bengali

Candidate must know any of these 3 languages (Telugu / Kannada / Bengali) to apply for this role.

Freshers with NISM - VIII who is fluent with any of these languages can also apply.

Interested candidates can share their CV


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