Broking Operations Auditor

7 days ago


Vadodara, Gujarat, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,20,00,000

We are seeking a highly skilled Auditing professional to perform thorough examinations of broking operations and verify adherence to compliance and regulatory requirements.

Key Responsibilities:
  • Perform in-depth audits to identify potential discrepancies or issues within trading practices, client interactions, and financial reporting.
  • Analyze data to evaluate the effectiveness of internal controls and risk management processes related to broking operations.
  • Conduct detailed examinations of broking activities, including trading practices, client transactions, and account management.
  • Evaluate the alignment of broking operations with relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements.
  • Monitor changes in regulatory requirements and update audit practices as necessary to ensure ongoing compliance.
  • Identify areas for improvement and recommend enhancements to operational efficiency and compliance.

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