Lead-Stock Broking Audit

Industry – BFSI

Base Location: Mumbai

Position: Lead – Stock Broking Audits

Experience: 3-10 years in Internal and Retail and Institutional Broking Audits including half yearly SEBI audits for NSE/BSE/MCX/. Experience of review Margin Trading and Proprietary Trading would be an advantage.

Educational Qualification: Graduate / CA / MBA / Others

Reporting to: Sr. Manager/ Associate Director

Overall purpose of the job: Independently handling audits execution work as part of a team for Broking Entities covering a detailed end to end review of processes as envisaged in the SEBI half yearly audit checklists.

Responsibilities

· Good understanding of capital markets, trading, clearing and settlements, KYC/AML, client onboarding, margin management, regulations governing capital markets, etc.

· Experience in conducting half yearly NSE/BSE/MCX reviews of Stockbrokers

· Good analytical skills, knowledge of advanced excel and ability to maintain good inter-personal relations

· Participate in audit execution in line with the scope agreed with the client.

· Perform daily, weekly, and monthly tasks.

· Report work performed daily.

· Giving status updates to Team Leader and client on periodic basis.

· Participate in detailed walkthroughs to gain understanding of the processes and controls implemented by the client.

· Documenting the work performed and maintaining work papers

· Review adherence with regulatory and statutory compliances

· Conducting audits within the time schedule assigned

· Identifying areas of improvements for each process being audited and recommending the same to the client

· To keep track of all regulatory and other changes in relation to Stock Broking and financial markets.

· Drafting Audit reports detailing findings of audit

· Should have a strong domain across the spectrum of operations for Stockbrokers.

· Should have good oral and written communication skills to articulate queries / observations to clients

· Should have good command over language and grammar

· Should have the ability to grasp / learn and unlearn processes / businesses of our clients.

· Should have good interpersonal skills in interactions with fellow team members, Team Leader and client representatives at all levels

· Should offer training and assistance to new team members, support their skill enhancement, improve their capacity to take more responsibilities.

Package: As per Market Standards