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Senior Broking Operations Auditor
2 weeks ago
Auditor Role
About the RoleWe are seeking a skilled Auditor to conduct thorough audits of broking operations to ensure compliance with regulatory requirements.
The successful candidate will be responsible for evaluating internal controls and risk management processes related to broking activities, ensuring adherence to relevant regulations and industry standards.
Key Responsibilities- Perform detailed audits of trading practices, client transactions, and account management.
- Evaluate the effectiveness of internal controls and risk management processes.
- Ensure compliance with regulatory requirements.
- Monitor changes in regulatory requirements and update audit practices as needed.
- Analyze transaction records and identify discrepancies or issues.
- Verify the accuracy and integrity of financial reporting.
- Assess the design and effectiveness of internal controls.
- Identify control weaknesses or gaps and recommend improvements.
