
Financial Operations Specialist
2 days ago
Brokerage Auditor
Hiring Summary:We are seeking a skilled auditor to assume a key role in our financial operations team. The ideal candidate will be responsible for ensuring the accuracy and integrity of our broking activities.
Key Responsibilities:- Perform audits on brokerage operations to verify adherence to regulatory requirements.
- Analyze trading practices, client interactions, and financial reporting to identify discrepancies or issues.
- Audit detailed brokerage activities, including trading practices, client transactions, and account management.
- Evaluate the effectiveness of internal controls and risk management processes related to brokerage operations.
- Ensure that brokerage operations adhere to relevant regulations and industry standards.
- Monitor changes in regulatory requirements and update audit practices accordingly.
- Analyze transaction records, trade confirmations, and client communications to identify discrepancies.
- Verify the accuracy and integrity of financial reporting related to brokerage activities.
- Assess the design and effectiveness of internal controls implemented in brokerage processes.
- Identify control weaknesses or gaps and recommend improvements.
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