Broking Compliance Specialist

1 day ago

Thoothukudi, Tamil Nadu, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000

We are seeking a highly skilled professional to join our organization in the role of Broking Compliance Specialist.

Job Overview:

  • The successful candidate will be responsible for performing audits on broking operations to verify adherence to regulatory requirements.
  • Analysing trading practices, client interactions and financial reporting to identify potential discrepancies or issues.
  • Performing detailed audits of broking activities including trading practices, client transactions and account management.
  • Evaluating the effectiveness of internal controls and risk management processes related to broking operations.
  • Ensuring that broking operations comply with relevant regulations and industry standards including anti-money laundering (AML) requirements.
  • Monitoring changes in regulatory requirements and updating audit practices as needed.
  • Analysing transaction records trade confirmations and client communications to identify discrepancies unauthorized activities or compliance issues.
  • Verifying the accuracy and integrity of financial reporting related to broking activities.
  • Assessing the design and effectiveness of internal controls implemented in broking processes.
  • Identifying control weaknesses or gaps and recommending improvements to enhance operational efficiency and compliance.

Responsibilities:

  • Audit broking operations to ensure compliance with regulatory requirements.
  • Conduct thorough analyses of trading practices client interactions and financial reporting.
  • Detailed audits of broking activities including trading practices client transactions and account management.
  • Evaluate the effectiveness of internal controls and risk management processes.
  • Compliance with regulatory requirements and industry standards.
  • Monitoring regulatory changes and updating audit practices.
  • Transaction record analysis trade confirmations and client communications.
  • Financial reporting accuracy and integrity verification.
  • Internal controls assessment and recommendations.

Requirements:

  • Bachelor's degree in finance accounting or related field.
  • Minimum 5 years experience in broking compliance or auditing.
  • Strong understanding of regulatory requirements and industry standards.
  • Excellent analytical and problem-solving skills.
  • Effective communication and interpersonal skills.
  • Able to work independently and as part of a team.

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