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Location

Thane | India

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Job description

Requirements

Position : Associate – Stock Broking Audits
Experience: 2-5 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: Team Leader

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 Stock Brokers
• 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 on a daily basis.
• Giving status updates to Team Leader and client on a periodic basis.
• Participate in detailed walkthroughs to gain an understanding of the processes and controls implemented by the client.
• Documenting the work performed and maintaining work papers
• Review adherence to regulatory and statutory compliances
• Conducting audits within the time schedule assigned
• Identifying areas of improvement 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 Stock Brokers.
• 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, and improve their capacity to take more responsibility.

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Job tags

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Salary