Broking Audit

3 days ago

Fort Mumbai Maharashtra, India Acme Services Private Limited Full time

Key Responsibilities and experience required for various audits:
Broking Audits:
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.

**Job Types**: Full-time, Permanent, Fresher

Pay: ₹600,000.00 - ₹700,000.00 per year

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift
- Morning shift

**Education**:

- Master's (required)

**Experience**:

- Internal Audit(Broking Industry): 4 years (required)

Work Location: In person

  • Trainee Broking Audit

    1 week ago

    Mumbai, India Secmark Consultancy Limited Full time

    Job Description For Trainee Broking Audit - Minimum Qualification is Graduation. - Training will be given on the job - Assisting auditors with outstation audits for Male Only - Accommodation and travel expenses will be provided by the company. **Job Types**: Full-time, Fresher **Salary**: From ₹120,000.00 per year **Benefits**: - Health...

  • Broking Auditor

    6 days ago

    Mumbai, Maharashtra, India Acme Services Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Hiring for a leading CA firm for Mumbai Location.Roles & Responsibilities➢ 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...

  • Broking Auditor

    6 days ago

    Mumbai, Maharashtra, India Acme Services Full time

    Hiring for a leading CA firm for Mumbai Location. Roles & Responsibilities ➢ 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,...

  • Broking Associate

    5 days ago

    Mumbai, India Riverforest Connections Full time

    Incumbent to possess the following competencies: 1. Good knowledge of Project Management Processes and tools - 2. Proficient on MS Excel, PowerPoint and Word - 3. Good verbal and written communication with pleasing personality - 4. Proactive and extremely high on initiatives - 5. Self-starter - should be able to work with minimum supervision - 6. Ability...

  • Broking Auditor

    7 days ago

    Mumbai, Maharashtra, India Acme Services Full time

    Hiring for a leading CA firm for Mumbai Location. Roles & Responsibilities ➢ 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...

  • Avp - Stock Broking Compliance

    1 day ago

    Navi Mumbai, Maharashtra, India Hitya Global Full time

    **Role Overview**: - Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with back office of institutional cum HNI clients, other day to...

  • Broking Compliance Officer

    7 days ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,04,000 - ₹ 1,30,878

    Job SummaryWe are seeking a seasoned Compliance Specialist to join our team. The successful candidate will have extensive experience in broking audit and internal control procedures.

  • Avp - Stock Broking Operations

    1 day ago

    Navi Mumbai, Maharashtra, India Hitya Global Full time

    **Responsibilities**: - Define, implement and manage operational processes as per regulatory framework to ensure exchange compliance. - Vendor management. - Able to build and manage teams for important functions like account opening, paying payout stock and funds, DP account, customer modification, RMS etc. - Responsible for customer support and seamless...

  • Broking Back-office

    3 days ago

    Mumbai, India Julius Baer Full time

    At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let’s shape the future of wealth management together. **YOUR CHALLENGE**: Responsible for Managing Broking Operations, contracting, settlements, margin and collateral...

  • Internal Audit

    1 week ago

    Mumbai, India Skillventory Full time

    **Internal Audit - Treasury Audit**: - From 5 to 10 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbai, Mumbai Suburban, Navi Mumbaior **Roles and Responsibilities** Roles and Responsbilities Responsible and accountable for conducting internal audits of functions such asTreasury,ALM& FTP, Capital Adequacy & ICAAP, Depository Participant,...