Diligent Broking Operations Auditor

2 days ago


Guntur, Andhra Pradesh, India beBeeAuditor Full time ₹ 15,00,000 - ₹ 20,00,000

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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