Posted:12 hours ago|
Platform:
On-site
Full Time
➢ Conduct detailed review and audits of compliance with the SEBI AIF Regulations as well as
compliance
with the Fund Documents.
➢ Conduct comprehensive audits of investment banking activities, including underwriting and advisory
services.
➢ Evaluate the effectiveness of internal controls and risk management processes.
➢ Ensure compliance with relevant regulations and industry standards.
Research Analysts Audits:
➢ Review the methodologies and practices used by research analysts to ensure compliance with ethical
standards and regulatory requirements.
➢ Assess the accuracy and integrity of research reports and recommendations.
➢ Examine research reports and recommendations for completeness, accuracy, and adherence to
ethical guidelines.
➢ Ensure that research findings are supported by adequate evidence and analysis.
➢ Verify that research activities comply with relevant regulations, industry standards, and internal
policies.
➢ Monitor changes in regulations and ensure that research practices are updated accordingly.
➢ Evaluate the effectiveness of internal controls related to research activities.
➢ Identify any gaps or weaknesses in controls and recommend improvements.
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