
Audit Professional
1 day ago
Audit professional sought for a prominent financial services organization.
- Conduct thorough 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.
- Perform detailed examinations 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.
- Verify adherence to relevant regulations and industry standards, including 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 identify 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.
The ideal candidate should possess excellent analytical and communication skills, with the ability to work independently and collaboratively as part of a team. A strong understanding of regulatory requirements and industry standards is essential. The successful applicant will have a proactive approach to identifying and addressing potential risks and areas for improvement.
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