Senior Compliance Auditor

3 days ago


Kannur, Kerala, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 25,00,000

Job Title:

A Senior Compliance Auditor role is available at a leading financial institution.

Key Responsibilities:

  • Conduct onsite audits of clients and collaborate with regulatory bodies, completing inspections within the specified timeframe
  • Create awareness among clients about mandatory compliance requirements and best practices through training sessions
  • Prepare and verify audit reports and checklists, submitting data to the institution post-audit and ensuring accuracy between checklists and reports
  • Visit or inspect Authorized Representatives of Clients
  • Organize Client Compliance Workshops

Required Skills and Qualifications:

  • Excellent written communication skills
  • Attention to detail
  • Strong analytical and investigating skills
  • Effective time management and result orientation
  • Ability to adhere to processes and maintain a results-oriented approach

Benefits:

  • The ideal candidate will possess a strong educational background as a Chartered Accountant/Cost and Works Accountant (CMA)
  • A minimum of 5-8 years of total experience, including 2-3 years of relevant work experience in broking/exchange/financial institution operations

Responsibilities Include:

  • Developing a deep understanding of the exchange ecosystem and operations
  • Applying professional audit principles, policies, and procedures to regular audits of clients and internal departments

Work Environment:

  • This role requires a proactive and organized individual who can effectively communicate complex ideas, manage multiple tasks, and ensure seamless execution of assigned responsibilities
  • The successful candidate will be a strategic thinker with exceptional problem-solving skills and a passion for driving results

Preferred Qualifications:

  • 2-3 years of relevant work experience in broking/exchange/financial institution operations


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