Audit Executive

2 weeks ago


Mumbai, India Shah Kapadia And Associates Full time

**Job description**

We are one of the **top CA firm** in Mumbai specialized in providing Compliance advisory services, Inspections, Audits of multiple Broking houses, Depository Participants, AMC's, NBFC etc. We have a PAN India presence with more than 300 clients.

About role:
**Designation: Audit Executive**

**Location : Thane & Borivali ( Immediate Joining)**

Qualification: Specialized in Commerce Background

**Description**
- Handled compliance related inspections of various types of Brokers of the Exchange

including Small & Medium Size stock brokers, proprietary traders, brokers having
institutional clients, banks dealing in equity market and big broking houses.
- Conducting in-depth financial analysis and risk assessment of stock broker to gauge

their solvency and to evaluate the potential risk they pose to system.
- Conducting and managing Internal audits of various broking Houses.
- Assisting and providing expert advice to Stock Brokers, DP’s and other clients

regarding compliances.
- Drafting of various observations of the queries raised by Exchanges/ SEBI.
- Implementing various circulars issued by NSE/SEBI
- Client Co-Ordination and assisting team for the various audits.

/ Permanent

**Job Types**: Full-time, Regular / Permanent, Fresher

**Salary**: ₹9,000.00 - ₹12,000.00 per month

Schedule:

- Day shift
- Morning shift

**Speak with the employer**
+91 8424017574


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