
Senior Compliance Auditor
3 days ago
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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