Audit Lead

3 days ago


Mumbai, Maharashtra, India Leading Securities Broking Full time

Audit Lead - Securities and Investment Expert Opportunity

Leading Securities Broking is seeking a seasoned Audit Lead to oversee internal audits across our organization. The ideal candidate will have at least 5-6 years of experience in the stockbroking, securities markets, or investment advisory sectors.

The successful applicant will lead internal audits as per our annual audit plan, evaluating the adequacy and effectiveness of internal controls related to risks within business areas and ensuring compliance with relevant laws and regulations.

Key responsibilities include:

  • Planning and executing audit fieldwork according to the agreed audit approach
  • Documenting activity flows, identifying key risks, testing key controls, and documenting work in accordance with standards
  • Reviewing special investigations and leading branch inspection reviews
  • Drafting audit reports, including findings, and monitoring implementation of remedial action plans

This role requires strong leadership skills, effective communication, and stakeholder management abilities. The successful candidate will act as a role model for new employees, evaluate team performance, and take ownership of their career management.

We are looking for an individual with the following qualifications:

  • Chartered Accountant (CA) with at least 6 years of relevant experience in stockbroking, securities markets, or investment advisory
  • Related certifications such as CFA, FRM, or CISA are preferred
  • Working knowledge of data analytics tools like ACL Analytics, Tableau, or Power BI

The estimated salary for this role is ₹45 lakhs to ₹50 lakhs per annum. If you are a motivated and experienced professional looking for a new challenge, please apply today.



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