
Financial Services Auditor
4 days ago
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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