Inspection & Audit Role - Broking Firm

Inspection and Audit

Conducting inspections :

- Performing on-site inspections of brokerage firms, trading platforms, to examine their activities, systems, and operations.

Compliance monitoring :

- Evaluating the compliance of market participants with relevant stock exchange rules, regulations, and securities laws.

Documenting findings and preparing reports :

- Collecting and analyzing data, documenting inspection findings, and preparing detailed reports that highlight any non-compliance instances or areas that require improvement.

Investigating complaints and market irregularities :

- Responding to complaints related to trading practices, market misconduct, or non-compliance with regulations, and conducting thorough investigations to identify and rectify any breaches.

Reviewing trading activities :

- Assessing trading activities and patterns to identify any suspicious or fraudulent activities and taking appropriate actions.

Identifying risks and recommending improvements :

- Identifying potential risks, loopholes, or areas of concern in trading operations and suggesting recommendations or implementing measures to mitigate those risks.

Collaborating with regulatory bodies and stakeholders :

- Liaising with relevant regulatory bodies, such as securities commissions or financial authorities, to share information, coordinate efforts, and ensure consistent enforcement of regulations.