Internal Audit_Stock Broking Insudtry_Mumbai

  • icon job experience 1 - 7 Years
  • icon job opening 5 Openings
  • icon salary Not Disclosed
  • icon job location Mumbai
  • Face-to-Face interview Face-to-Face interview
Key Skills

Stock Broker Stock Agent Internal Sudit Work From Home Walk in

Job Description

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, Chartered Accountant

  • 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

About Shah and Kapadia Associates

SHAH KAPADIA & ASSOCIATES (SKA) is one of the fastest growing firms of Chartered Accountants in India, who has been prevailing at the forefront of auditing, taxation and consultancy services from last many years.
Read More...
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