Financial Services Auditor

4 days ago


Anand, Gujarat, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 17,00,000
Job Opportunity

We are seeking a seasoned Compliance Specialist to lead our internal controls and risk management initiatives.

Responsibilities include:

  • Conducting thorough audits of broking operations to ensure adherence to regulatory requirements.
  • Analyzing trading practices, client interactions, and financial reporting for potential discrepancies or issues.
  • Auditing broking activities, including trading practices, client transactions, and account management.
  • Evaluating the effectiveness of internal controls and risk management processes related to broking operations.
  • Ensuring that broking operations comply with relevant regulations and industry standards.
  • Monitoring changes in regulatory requirements and updating audit practices as needed.
  • Examining transaction records, trade confirmations, and client communications for discrepancies, unauthorized activities, or compliance issues.
  • Verifying the accuracy and integrity of financial reporting related to broking activities.
  • Assessing the design and effectiveness of internal controls implemented in broking processes.
  • Identifying control weaknesses or gaps and recommending improvements to enhance operational efficiency and compliance.


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