Manager/Senior Manager - Compliance & Audit - Equity Broking Sector - CA

CA Freshers-Stock broking Sector-Compliance & Audit

We are one of the top CA firm located in Sion, Mumbai which renders audit and compliance services in the securities market.

Currently hiring qualified CA freshers for one of our important roles.

Position : Manager/Sr.Manager

Industry : Equity Broking Sector

Responsibilities :

- Handled compliance related inspections of various types of Brokers of the Exchange including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in equity market and 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.