Team Member Secondary Back Office Audit
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Job Location:
Monthly Salary:
Posted on:
2 hours ago
Vacancies:
1 Vacancy
Job Summary
Team Member- Securities- Back Office - HO Ops- Audit role
Location- Goregaon-Mumbai (Work from Office)
The professional will be responsible for monitoring and auditing secondary back-office operations to ensure compliance with SEBI and stock exchange regulations. The role involves handling audits coordinating exchange inspections and preparing MIS reports for senior management. This is an Individual Contributor role focused on compliance and process control.
Key Responsibilities:
- Audit & Compliance
- Handle Internal Statutory & SEBI Audits and Exchange Inspections.
- Ensure compliance with regulatory and exchange guidelines.
- Support closure of audit observations and documentation.
- Back Office Monitoring
- Verify accuracy of back-office records and processes.
- Identify gaps risks and process deviations.
- Ensure adherence to SOPs and control standards.
- MIS & Reporting
- Prepare and publish MIS reports for senior management
- Highlight audit status and operational issues
- Maintain dashboards and reports highlighting operational risks audit status and compliance performance.
Key Skills & Competencies:
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- Knowledge of broking back-office operations.
- Understanding of SEBI & exchange norms.
- Experience in audit handling and compliance.
- Strong documentation and reporting skills.
- Proficiency in MS Excel.
Experience:
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- 6 8 years in Stock Broking / Financial Services.
- Experience in audit and back-office operations mandatory.
Key Skills
- Business Intelligence
- Bidding
- Accounts Assistant Credit Control
- Account Development
- Content Development
- Lab Testing
