Head - Audit - Broking

- Getting all the internal audits carried out in the company such as Internal audit, Regulatory audits like SEBI audit, KYC audit, Concurrent audit, Branch audits, PMS regulatory audits etc. Co-ordinating with all the audit agencies, concerned functions, responding to audit observations and placing the audit observations before Audit committee. Ensuring corrective actions for audit findings.

- Achieve the internal audit objectives to comply with Statutory, Regulatory & Exchange directives specific to the Broking Industry with strong internal control framework across broking operations, Branches, Authorized Persons and DSA

- Provide an Independent review on critical Policies, Procedure and Standards followed by functions so as to protect the Company's Financial, Physical, Information Resources and adherence to strict Regulatory compliance supported with documented Standard Operating Manuals

- Carryout Special audits in specific areas as per the Organisation requirement from time to time and submit report to the management for any corrective action that may be required

- Structuring of MIS generation on Regulatory Compliance and reporting on the same, to liaise with Regulatory auditors and ensure quarterly update on the same to the Senior Management Team.

- Cost Reduction opportunities without impacting quality on supervision

- Sample verification of key process in each function having regulatory compliance adherence

- Physical Verification of Fixed Asset for in respect of own branches as per Statutory requirements