Financial Services Risk Manager

2 weeks ago


Thiruvananthapuram, Kerala, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 15,00,000

Key Responsibilities

The primary role of a Broking Auditor is to ensure the accuracy and integrity of broking operations. This includes verifying adherence to regulatory requirements and industry standards.

  • Audit broking operations to identify potential discrepancies or issues related to trading practices, client interactions, and financial reporting.
  • Evaluate the effectiveness of internal controls and risk management processes related to broking activities.
  • Ensure that all regulatory requirements are met, including compliance with financial market regulations and anti-money laundering (AML) policies.
  • Analyze transaction records, trade confirmations, and client communications to identify control weaknesses or gaps.
  • Verify the accuracy and integrity of financial reporting related to broking activities.
  • Assess the design and effectiveness of internal controls implemented in broking processes.


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