Audit Executive

22 hours ago


mumbai, India SKA Full time

The Role: Role: Authorised Person AuditIndividuals 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 routesDevelop a structured audit plan, prioritizing key compliance areas. Coordinate with the Authorized Person for scheduled auditsConduct 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 executedThe role involves traveling outside Maharashtra for two weeks each month. All expenses associated with it, will be borne by the company.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.Ideal 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 environmentsYou are a strong team player who can manage multiple stakeholdersYou are a strong networker & relationship builderYou are willing to undertake more than 60% travel.What's on Offer?Attractive Salary & Benefits



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