Broking Audit

Job Description

Broking Audits: ➢ 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, including trading practices, client transactions, and account management. ➢ Evaluate the effectiveness of internal controls and risk management processes related to broking operations. ➢ Ensure that broking operations adhere to relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements. ➢ Monitor changes in regulatory requirements and update audit practices as needed. ➢ Analyze transaction records, trade confirmations, and client communications to identify discrepancies, unauthorized activities, or compliance issues. ➢ Verify the accuracy and integrity of financial reporting related to broking activities. ➢ Assess the design and effectiveness of internal controls implemented in broking processes. ➢ Identify control weaknesses or gaps and recommend improvements to enhance operational efficiency and compliance. Job Types: Full-time, Permanent Pay: ₹50,000.00 - ₹60,000.00 per year Application Question(s): Have you done Internal audit of Stock broking companies? What id your current CTC ? What is your expected Ctc? What is your notice period? Work Location: In person