Dear Candidate,
We are one of the top CA firm in Mumbai specialized in providing auditing and advisory services to finance industry mainly Stock Broking, Depository Participants, NBFC, AMC's etc.
We have more than 250 clients at PAN India level.
Job opening is for CA Fresher who wanted to gain exposure into practice.
Designation: Audit Manager
Industry : Stock Broking
Function: Auditing & Inspection
Compensation: There is no budget for the right fit candidate
Qualification: Qualified Chartered Accountant who is well versed with audit functions for finance industry.
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.