Broking Auditor

3 weeks ago

Mumbai, India Acme Services Full time
Hiring for a leading CA firm for Mumbai Location.
Roles & Responsibilities
➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements.
➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
➢ Perform detailed audits of broking activities, including trading practices, client transactions, and account management.
➢ Evaluate the effectiveness of internal controls and risk management processes related to broking operations.
➢ Ensure that broking operations adhere to relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements.
➢ Monitor changes in regulatory requirements and update audit practices as needed.
➢ Analyze transaction records, trade confirmations, and client communications to identify
discrepancies, unauthorized activities, or compliance issues.
➢ Verify the accuracy and integrity of financial reporting related to broking activities.
➢ Assess the design and effectiveness of internal controls implemented in broking processes.
➢ Identify control weaknesses or gaps and recommend improvements to enhance operational efficiency and compliance.

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