Audit Executive
2 weeks ago
Perform audits on broking operations to verify adherence to compliance and regulatory requirements.
Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.
Perform detailed audits of broking activities, including trading practices, client transactions, and account management.
Evaluate the effectiveness of internal controls and risk management processes related to broking operations.
Ensure that broking operations adhere to relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements.
Monitor changes in regulatory requirements and update audit practices as needed.
Analyze 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 broking activities.
Assess the design and effectiveness of internal controls implemented in broking processes.
Identify control weaknesses or gaps and recommend improvements to enhance operational efficiency and compliance.
Pay: ₹15,000.00 - ₹20,000.00 per month
Schedule:
- Day shift
- Morning shift
Application Question(s):
- What is your current location ?
- Are you a BFM graduate fresher ?
- What are you CTC expectations ?
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