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    Lead-Stock Broking Audit - Mumbai, India - ANB Solutions Pvt. Ltd

    ANB Solutions Pvt. Ltd
    ANB Solutions Pvt. Ltd Mumbai, India

    1 week ago

    Default job background
    Full time Upper Management / Consulting
    Description
    Industry

    – BFSI (prior experience of capital market is mandatory)

    Base Location:
    Mumbai

    Position:
    Lead – Stock Broking Audits

    Experience: 3 -5 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 / MBA / Others

    Reporting to:
    Manager


    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
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