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AEKE CONSULTANCY logo
Senior Manager (Internal Audit Stock & Commodity Brokers) AEKE CONSULTANCY

5.0 - 9.0 years

0 Lacs

maharashtra

On-site

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 pre...

Posted 1 month ago

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