Manager/Senior Manager - Internal Audit - Stock Broking Industry

We have a job opportunity with one of the top CA firm in Mumbai well known for providing Auditing and Advisory services in Finance Industry mainly Stock Broking, Depository Participants, NBFC. AMC's etc.We have more than 250 clients at a PAN India level.

Designation: Manager/ Sr. Manager

Division: Internal Audit

Industry: Stock Broking

Location: Sion, Mumbai

Compensation: Best in Industry

Responsibilities:

- Handling compliance related audits of various types of Brokers which includes Small, Medium & big broking houses , proprietary traders, brokers having institutional clients, NBFC's, AMC's.

- 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 while executing audits and to the queries raised by Exchanges /SEBI

- Implementing various circulars issued by NSE/SEBI

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