Job description
Responsibilities:
-Handling and execute audits or inspection with respect to SEBI Compliance of
various brokers which Includes Small, Medium & big broking houses, brokers
having institutional clients etc
- 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.
- Develop audit plan, executing the action plan and finalizing audit report
-Assisting and providing expert advice to Stock Brokers, DP’s and other clients
Regarding compliances.
- Implementing various circulars issued by Exchange / SEBI
- Client Co-Ordination and assisting team for the various audits
Requirement: Qualified Chartered Accountants (CA)
Experience: 0 to 4 years
Job Type: Full-time