
Diligent Broking Operations Auditor
2 days ago
We are seeking a diligent Broking Operations Auditor
Key Responsibilities:
- To conduct thorough audits on broking operations to verify adherence to compliance and regulatory requirements.
- Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
- Auditing includes trading practices, client transactions, and account management.
- Evaluate the effectiveness of internal controls and risk management processes related to broking operations.
- Ensure that all broking operations adhere to relevant regulations and industry standards.
- Maintain up-to-date knowledge of changing regulatory requirements and update audit practices as needed.
- Examine transaction records, trade confirmations, and client communications to identify discrepancies or unauthorized activities.
- Verify the accuracy and integrity of financial reporting related to broking activities.
- Assess the design and effectiveness of internal controls implemented in broking processes.
- Identify control weaknesses or gaps and recommend improvements to enhance operational efficiency and compliance.
Our ideal candidate should possess strong analytical and problem-solving skills, with the ability to work independently and as part of a team. A solid understanding of regulatory requirements and industry standards is essential for this role. If you are looking for a challenging opportunity to make a real impact, please consider joining our team.
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