Senior Manager (Internal Audit Stock & Commodity Brokers)

As a Senior Manager Internal Audit at a reputed consulting firm, you will be responsible for managing internal audits and ensuring regulatory compliance for stock and commodity brokers in alignment with SEBI and Exchange norms. Key Responsibilities: - Conduct and lead internal audits for broking houses across capital markets and commodities segments. - Ensure compliance with SEBI, NSE, BSE, MCX, and NCDEX regulations. - Review and verify processes related to margin reporting, PMLA compliance, and actual settlement procedures. - Assess and implement Risk-Based Supervision (RBS) frameworks, UCC management, and terminal operations control. - Provide support during regulatory inspections and prepare necessary reports and documentation. - Lead and mentor a team of auditors, ensuring high-quality deliverables and adherence to deadlines. Qualification Required: - Chartered Accountant (CA) or CA Inter with relevant experience in broking/internal audit. - Strong understanding of exchange compliance, audit methodologies, and risk management practices. - Excellent communication, leadership, and report writing skills. - Prior experience with consulting firms or audit departments of broking firms is preferred.,