Job Description
Industry – BFSI (prior experience of capital market is mandatory)
Base Location: Mumbai
Position: Lead – Stock Broking Audits
Experience: 3-10 years in Internal and Retail and Institutional Broking Audits including half yearly SEBI audits for NSE/BSE/MCX/. Experience of review Margin Trading and Proprietary Trading would be an advantage.
Educational Qualification: Graduate / CA / MBA / Others
Reporting to: Sr. Manager/ Associate Director
Overall purpose of the job: Independently handling audits execution work as part of a team for Broking Entities covering a detailed end to end review of processes as envisaged in the SEBI half yearly audit checklists.
Responsibilities
· Good understanding of capital markets, trading, clearing and settlements, KYC/AML, client onboarding, margin management, regulations governing capital markets, etc.
· Experience in conducting half yearly NSE/BSE/MCX reviews of Stockbrokers
· Good analytical skills, knowledge of advanced exc...
Base Location: Mumbai
Position: Lead – Stock Broking Audits
Experience: 3-10 years in Internal and Retail and Institutional Broking Audits including half yearly SEBI audits for NSE/BSE/MCX/. Experience of review Margin Trading and Proprietary Trading would be an advantage.
Educational Qualification: Graduate / CA / MBA / Others
Reporting to: Sr. Manager/ Associate Director
Overall purpose of the job: Independently handling audits execution work as part of a team for Broking Entities covering a detailed end to end review of processes as envisaged in the SEBI half yearly audit checklists.
Responsibilities
· Good understanding of capital markets, trading, clearing and settlements, KYC/AML, client onboarding, margin management, regulations governing capital markets, etc.
· Experience in conducting half yearly NSE/BSE/MCX reviews of Stockbrokers
· Good analytical skills, knowledge of advanced exc...
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