
Audit Specialist
1 day ago
Hiring for a leading audit position in Mumbai.
Roles & Responsibilities
- Perform comprehensive audits of brokerage operations to ensure compliance with regulatory requirements and industry standards.
- Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
- Conduct detailed audits of 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, including compliance with financial market regulations and anti-money laundering (AML) requirements.
- Monitor changes in regulatory requirements and update audit practices as needed.
- Examine transaction records, trade confirmations, and client communications to detect discrepancies, unauthorized activities, or compliance issues.
- 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 to enhance operational efficiency and compliance.
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