Broking Auditor

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,...

Hiring for a leading financial services firm in Mumbai.Job DescriptionWe are seeking a highly skilled professional to perform audits on broking operations and verify adherence to compliance and regulatory requirements.The ideal candidate will have strong analytical skills, excellent attention to detail, and the ability to identify potential discrepancies or...

Hiring for a leading organization is seeking an experienced professional to fill a critical role.Key ResponsibilitiesConduct thorough audits of 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 in-depth...

Hiring for a leading firm in Mumbai Location.Job Summary: We are seeking a professional to perform audits on broking operations, ensuring adherence to compliance and regulatory requirements. The ideal candidate will have strong analytical skills, with the ability to analyze trading practices, client interactions, and financial reporting to identify potential...

- Overseeing and managing end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements.- Managing compliance activities associated with equity research function, including regulatory filings and internal control mechanisms- Developing, implementing, and monitoring...

Overseeing and managing end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements. Managing compliance activities associated with equity research function, including regulatory filings and internal control mechanisms Developing, implementing, and monitoring comprehensive...

Overseeing and managing end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements.Managing compliance activities associated with equity research function, including regulatory filings and internal control mechanismsDeveloping, implementing, and monitoring comprehensive...

Job OverviewA Compliance Officer will be responsible for managing compliance activities related to stock broking and depository participant operations. This includes coordinating with regulatory bodies, auditors, custodians, tax consultants, RTA, investors, vendors, and consultants.Main Responsibilities:Regularly coordinate with regulatory bodies, auditors,...

Compliance Officer Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3).- Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA,...

Job Title: Senior ManagerRole OverviewThe Senior Manager is responsible for overseeing and managing the end-to-end compliance and surveillance function related to stock broking business, ensuring adherence to all applicable regulatory requirements. This role requires a high level of expertise in compliance management and regulatory affairs.Duties and...