Manager -Auditor
Manager -Auditor
Posted on :
19-03-2025
Employer Active
1 Vacancy
The job posting is outdated and position may be filled
Job Alert
You will be updated with latest job alerts via emailValid email field required
Send jobs
Share
Send me jobs like this
Job Alert
You will be updated with latest job alerts via emailValid email field required
Send jobs
Job Description
Job Summary:
We are seeking a highly motivated and detailoriented Auditor to join our team. The Auditor will be responsible for conducting internal audits to assess the effectiveness of our internal controls compliance with regulatory requirements and the accuracy of financial reporting. The ideal candidate will possess a strong understanding of the Indian stock broking industry relevant regulations (SEBI Exchanges etc. and auditing principles.
Responsibilities:
- Conduct Internal Audits:
- Plan execute and report on internal audits of various departments and processes within the stock broking company.
- Evaluate the adequacy and effectiveness of internal controls related to financial reporting operational efficiency and regulatory compliance.
- Identify and assess risks associated with the companys operations.
- Perform transaction testing and data analysis to verify accuracy and completeness of records.
- Document audit procedures findings and recommendations in a clear and concise manner.
- Regulatory Compliance:
- Ensure compliance with all applicable SEBI regulations exchange rules and other relevant legal and regulatory requirements.
- Monitor changes in regulations and assess their impact on the companys operations.
- Conduct compliance audits to verify adherence to regulatory requirements.
- Assist in the preparation and submission of regulatory reports.
- Risk Management:
- Identify and assess operational and financial risks.
- Recommend and implement risk mitigation strategies.
- Participate in the development and maintenance of the companys risk management framework.
- Financial Reporting:
- Review financial statements and supporting documentation for accuracy and completeness.
- Evaluate the effectiveness of financial reporting controls.
- Identify and report any discrepancies or irregularities in financial records.
- Process Improvement:
- Identify areas for improvement in operational efficiency and internal controls.
- Recommend and implement process improvements.
- Participate in the development and implementation of new policies and procedures.
- Documentation and Reporting:
- Prepare audit reports summarizing findings recommendations and management responses.
- Maintain accurate and organized audit documentation.
- Communicate audit findings to management in a timely and effective manner.
- Other Duties:
- Assist with special projects as assigned.
- Stay abreast of industry best practices and emerging trends.
Requirements
Qualifications:
- Bachelors degree in Accounting Finance or a related field.
- CA CPA CIA or other relevant professional certification is highly desirable.
- Minimum Insert Number years of experience in internal audit or compliance preferably in the Indian stock broking industry.
- Strong understanding of SEBI regulations exchange rules and other relevant legal and regulatory requirements.
- Proficiency in auditing principles and practices.
- Excellent analytical problemsolving and communication skills.
- Ability to work independently and as part of a team.
- Proficiency in MS Office Suite (Excel Word PowerPoint).
- Knowledge of relevant software like audit management software is a plus.
- Knowledge of Depository Participant operations.
- Knowledge of trading platforms and Back office operations.
Skills:
- Attention to detail.
- Strong ethical standards.
- Ability to maintain confidentiality.
- Time management and organizational skills.
- Strong knowledge of risk management.
Benefits
Best In Industry
Qualifications: Bachelor s degree in Finance, Business Administration, or a related field (MBA preferred). 2 years of experience in stock broking or financial services, with at least 2 years in relationship Manager role. Strong knowledge of financial markets, investment products, and regulatory frameworks. Proven track record of achieving sales targets and managing a team effectively. Excellent communication, interpersonal, and leadership skills. Proficient in using financial software and tools.
Education
Graduate any
Employment Type
Full Time
Key Skills
Report This Job
Disclaimer: Drjobpro.com is only a platform that connects job seekers and employers. Applicants are advised to conduct their own independent research into the credentials of the prospective employer.We always make certain that our clients do not endorse any request for money payments, thus we advise against sharing any personal or bank-related information with any third party. If you suspect fraud or malpractice, please contact us via contact us page.
