ANB Solutions Pvt. Ltd
Location
Mumbai | India
Job 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 StandardsJob tags
Salary
