
Auditing Specialist
1 day ago
Job Overview
A skilled Auditor is required to ensure the integrity and compliance of broking operations. The ideal candidate will have a strong understanding of regulatory requirements and risk management processes.
Key Responsibilities:
- Perform thorough audits on broking operations to verify adherence to regulatory requirements and industry standards.
- Conduct in-depth analysis of trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
- Review and evaluate the effectiveness of internal controls and risk management processes related to broking operations.
- Ensure that all broking activities adhere to relevant regulations and standards.
- Monitor changes in regulatory requirements and update audit practices as needed.
- Analyze 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.
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