Internal Audit_Stock Broking Insudtry_Mumbai

Shah and Kapadia Associates

Handling 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, DPs 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

Experience : 1 - 7 Years

No. of Openings : 5

Education : B.Com, M.Com, CA

Role : Stock Broker

Industry Type : Banking / Financial Services / Stock Broking

Gender : [ Male / Female ]

Job Country : India