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, 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

• Experience

  1 - 7 Years

• No. of Openings

  5

• Education

  B.Com, Chartered Accountant, M.Com

• Role

  Stock Broker

• Industry Type

  Banking / Financial Services / Stock Broking

• Gender

  [ Male / Female ]

• Job Country

  India

• Type of Job

  Full Time

• Work Location Type

  Work from Home