Financial Compliance Specialist

3 days ago

Bellary, Karnataka, India beBeeRegulatory Full time ₹ 12,00,000 - ₹ 20,10,000
Job Title:

Broking Auditor

Key Responsibilities:
  • Verify adherence to regulatory requirements and compliance by performing audits on broking operations.
  • Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
  • Perform detailed audits of broking activities including trading practices, client transactions, and account management.
  • Evaluate the effectiveness of internal controls and risk management processes related to broking operations.
  • Ensure that broking operations adhere to 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 needed.
  • Analyze transaction records, trade confirmations, and client communications to identify discrepancies, unauthorized activities, or compliance issues.
  • 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.
Required Skills & Qualifications:
  • Expert knowledge of financial markets, regulations, and industry standards.
  • Proficiency in auditing and analysis techniques.
  • Strong analytical and problem-solving skills.
  • Excellent communication and interpersonal skills.
  • Ability to work effectively in a team environment.
  • High level of integrity and professionalism.
Benefits:
  • Competitive salary and benefits package.
  • Opportunities for career growth and professional development.
  • Collaborative and dynamic work environment.
About This Role:

This is an exciting opportunity to join our organization as a Broking Auditor. As a key member of our team, you will be responsible for ensuring the effective operation of our broking activities and identifying areas for improvement. If you are a motivated and detail-oriented individual with a passion for finance and compliance, we encourage you to apply for this role.

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