Audit Manager - Stock Broking - CA

CA Fresher- Stock Broking Industry- Mumbai

We are one of the top CA firm in Mumbai specialized in providing auditing and advisory services to finance industry mainly Stock Broking, Depository Participants, NBFC, AMC's etc.

We have more than 250 clients at PAN India level.

Job opening is for CA Fresher who wanted to gain exposure into practice.

Designation: Audit Manager

Industry : Stock Broking

Function: Auditing & Inspection

Compensation: There is no budget for the right fit candidate

Qualification: Qualified Chartered Accountant who is well versed with audit functions for finance industry.

Responsibilities:

-Handled audit of various types of Brokers of the Exchange including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, big broking houses.

- Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to system.

- Conducting and managing Internal audits of various broking Houses

- Assisting and providing expert advice to Stock Brokers, DP's and other clients regarding compliances.

- Drafting of various observations of the queries raised by Exchanges/ SEBI.

- Implementing various circulars issued by NSE/SEBI

- Client Co-Ordination and assisting team for the various audits.