
Senior Broking Compliance Specialist
2 weeks ago
Broking Auditor
About the Role:We are seeking a skilled Broking Auditor to join our team. As a key member of our audit function, you will be responsible for ensuring that our broking operations adhere to relevant regulations and industry standards.
Responsibilities:- Perform thorough audits on broking activities, including trading practices, client transactions, and account management.
- Analyze transaction records, trade confirmations, and client communications to identify discrepancies or compliance issues.
- Evaluate the effectiveness of internal controls and risk management processes related to broking operations.
- Ensure that broking operations comply with financial market regulations and anti-money laundering requirements.
- Strong knowledge of financial markets, regulations, and auditing principles.
- Ability to analyze complex data and identify potential risks.
- Excellent communication and interpersonal skills.
Our company offers a competitive salary, comprehensive benefits package, and opportunities for professional growth and development.
Working at Our Company:We are committed to creating a positive work environment that fosters collaboration, innovation, and excellence. We value our employees' contributions and strive to provide a safe and inclusive workplace.
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