Broking Auditor

Acme Services

1 - 6 years

5 - 8 Lacs

Mumbai Maharashtra India

Posted:1 week ago| Platform: Foundit logo

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Skills Required

roking audit Internal Audit Compliance Kyc PMLA risk management systems client fund segregation

Work Mode

On-site

Job Type

Full Time

Job Description

Key Responsibilities

Perform internal audits of stock broking operations, including trade execution, client account handling, and regulatory reporting.
Review compliance with SEBI, NSE, BSE, and other applicable regulatory frameworks.
Conduct checks on KYC, PMLA, risk management systems, client fund segregation, and margin reporting.
Audit back-office processes: demat accounts, client ledger reconciliation, and payout/payin mechanisms.
Verify dealer and terminal operations, order execution procedures, and error reporting.
Assess the adequacy and effectiveness of internal controls and suggest improvements.
Prepare detailed audit reports highlighting findings, risks, and corrective action plans.
Follow up with departments to ensure timely closure of audit observations.
Stay updated on changing compliance requirements and regulatory updates in broking industry.

Qualifications & Skills

Bachelor's or Master's degree in Commerce, Finance, Accounting, or related field.
Professional qualifications like CA, CMA, or CIA preferred.
25 years of experience in broking audit, internal audit, or compliance in a financial services firm.
Strong understanding of trading platforms, broking operations, and regulatory environment.
Working knowledge of audit tools, MS Excel, and financial systems.
Attention to detail, analytical mindset, and strong communication skills.

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