SEBI Audit 15h Left

About the RoleThis position requires a seasoned professional with expertise in mutual fund compliance and a strong understanding of SEBI regulations. As a key member of our team, you will play a critical role in ensuring the highest standards of governance, compliance, and regulatory adherence in our mutual fund operations.You will be responsible for...

About Company: Shah Kapadia & Associates, Chartered AccountantsThe firm is a pioneer in the field of the securities market for process review, SEBI compliance assistance, audit & assurance, and risk management. SKA has successfully managed to serve more than 200+ SEBI intermediaries with the strong support of our 300+ employees PAN India level. With...

The OfferWork alongside & learn from best in class talentAttractive Salary & BenefitsFantastic work cultureThe JobJob Description : Scheduling of AuditConduct and execute audits of authorized persons of stock brokersScrutinize the documents and certificatesExamine if an authorized person is functioning as per the SEBI compliance, prepare audit findings,...

Job Title DDP Division - Associate - Analyst Location MumbaiRole DescriptionRegulatory Business Advisor is responsible for implementing the defined organizational regulatory advisory strategy in the relevant business infrastructure area Work includes Identifying prioritizing and Assessing risks and developing the relevant tools processes and...

JOB DESCRIPTIONThe overall CS function is very critical for the organisation. It is responsible for compliance with the Corporate Lawwhich is applicable to the Company. CS is a statutory function to be discharged by specialised qualified person. The rolealso encompasses interaction with Board of Directors.Within this umbrella the various subsets of CS...

About CompanyA leading FMCG company with a legacy of over 30 years and a strong reputation for quality and reliability. With a current turnover of approximately ₹4,000 Cr, the company offers a diverse portfolio of internationally recognized products across 31 countries.Job DescriptionJob Summary:The Manager – Internal Audit will lead internal audit...

About Company A leading FMCG company with a legacy of over 30 years, renowned for its quality and reliability. Its diverse portfolio of internationally recognized products spans across 31 countries worldwide. Job Description Job Summary: The Manager – Internal Audit will lead internal audit activities to ensure compliance, strengthen internal controls,...

Financial ServicesAbout CA Firm -Chartered Accountants Mumbai firm Since 1964 They provide comprehensive services and believe in adding value to the clients business JOB DESCRIPTION To carry out the Statutory Audits of Banks To devise audit plan and schedule To take initiative in finalising the Final report To act as a coordinator between the client...

Job Summary:    We are seeking a seasoned Compliance Officer to join our team at Intellectual Capital HR Consulting Pvt. Ltd. as a Regulatory Affairs Specialist. This role will be responsible for ensuring the company's compliance with various regulatory requirements, including SEBI, Depositories, and Stock Exchange regulations.About...

We have an opening with Asset Management Company Goregaon MumbaiGrade Deputy Manager ManagerEducation Inter CA Post GraduateExperience 2-4 years of experience in a similar role Location Goregaon OfficeNo of Positions 1Role Purpose 1 Managing cash flow and reporting to the Fund Managers and dealers2 Accounting as per laid out accounting policies and SEBI...

Job DescriptionPosition Name - PMS Operations SpecialistLocation - Wadala, MumbaiExperience Range - 1-3 yrsMandatory Requirement:- 1-3 years of experience working in a Portfolio Management- Services (PMS)- Experience in Client Onboarding, Compliance Reporting, Coordination & Operations.About the client:Company, is a SEBI-registered portfolio management...

Position: Audit ExecutiveQualification: Any GraduateExperience: FresherLocation: Mumbai (Sion)About Job:Individual is 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...

Account Opening Process Audit- Reviewed process for Inward, Data Entry, Scanning and KYC verification including applicable regulatory requirements w.r.t Account Opening activity.- Reviewed the process of Online Account Opening, related internal policies and guidelines. Information Security Group - ACR, VAPT & API - Co-sourced Audit (FY 2021-22)- Reviewed...

Account Opening Process Audit- Reviewed process for Inward, Data Entry, Scanning and KYC verification including applicable regulatory requirements w.r.t Account Opening activity.- Reviewed the process of Online Account Opening, related internal policies and guidelines. Information Security Group - ACR, VAPT & API - Co-sourced Audit (FY 2021-22)- Reviewed...

At Acies, we are looking for a skilled Financial Services Audit Manager to join our team.Company Overview:We are a leading consulting firm specializing in financial services audit. Our team of experts works closely with clients to provide high-quality assurance services that meet their needs.Job Description:Lead and manage independent projects across the...

About the Role:We are seeking a detail-oriented and organized Senior Audit Compliance Specialist to join our team at Mangalam Placement Pvt Ltd.As a Senior Audit Compliance Specialist, you will play a crucial role in ensuring that Authorized Persons (APs) of stockbrokers adhere to regulatory guidelines. Your responsibilities will include reviewing and...

1. Audit Planning and Execution:Develop and implement audit frameworks to comply with SEBI SOAP guidelines. Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards. Evaluate the organization's adherence to SEBI's regulatory requirements and best practices.2. Risk Assessment and Mitigation:Perform risk...

1. Audit Planning and Execution:Develop and implement audit frameworks to comply with SEBI SOAP guidelines. Plan and conduct systematic audits to assess operational risks, internal controls, and compliance standards. Evaluate the organization's adherence to SEBI's regulatory requirements and best practices.2. Risk Assessment and Mitigation:Perform risk...

Client DetailsOur client is a well-reputed Chartered Accountants firm established as back in 1907 We have also other experienced and semi qualified staff capable of handling the matters accounts, direct and indirect taxation, compliances of MCA, RBI, SEBI etc.They handle consultancy and tax planning both in direct and indirect fields and help the clients in...

Job DescriptionPosition Summary:The Mutual Fund Compliance Officer is responsible for ensuring that the mutual funds operations, activities, and dealings comply with all the regulations, rules, and guidelines laid down by the Securities and Exchange Board of India (SEBI) and other governing authorities. This position is critical to ensuring the fund operates...