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20 Anb Co Jobs

Associate-Stock Broking Audit

0-3 years

Mumbai

1 vacancy

Associate-Stock Broking Audit

Anb Co

posted 16d ago

Job Description

Industry BFSI (prior experience of capital market is mandatory)

Base Location: Mumbai

Position: Associate Stock Broking Audits

Experience: 2-5 years in Internal and Retail and Institutional Broking Audits including half yearly SEBI audits for NSE/BSE/MCX/. Experience of review Margin Trading and Proprietary Trading would be an advantage.

Educational Qualification: Graduate / MBA / Others

Reporting to: Team Leader

Overall purpose of the job: Independently handling audits execution work as part of a team for Broking Entities covering a detailed end to end review of processes as envisaged in the SEBI half yearly audit checklists.

Responsibilities

  • Good understanding of capital markets, trading, clearing and settlements, KYC/AML, client onboarding, margin management, regulations governing capital markets, etc.
  • Experience in conducting half yearly NSE/BSE/MCX reviews of Stockbrokers
  • Good analytical skills, knowledge of advanced excel and ability to maintain good inter-personal relations
  • Participate in audit execution in line with the scope agreed with the client.
  • Perform daily, weekly, and monthly tasks.
  • Report work performed daily.
  • Giving status updates to Team Leader and client on periodic basis.
  • Participate in detailed walkthroughs to gain understanding of the processes and controls implemented by the client.
  • Documenting the work performed and maintaining work papers
  • Review adherence with regulatory and statutory compliances
  • Conducting audits within the time schedule assigned
  • Identifying areas of improvements for each process being audited and recommending the same to the client
  • To keep track of all regulatory and other changes in relation to Stock Broking and financial markets.
  • Drafting Audit reports detailing findings of audit
  • Should have a strong domain across the spectrum of operations for Stockbrokers.
  • Should have good oral and written communication skills to articulate queries / observations to clients
  • Should have good command over language and grammar
  • Should have the ability to grasp / learn and unlearn processes / businesses of our clients.
  • Should have good interpersonal skills in interactions with fellow team members, Team Leader and client representatives at all levels
  • Should offer training and assistance to new team members, support their skill enhancement, improve their capacity to take more responsibilities.

Package: As per Market Standards




Employment Type: Full Time, Permanent

Read full job description

What people at Anb Co are saying

Associate salary at Anb Co

reported by 2 employees
₹8.1 L/yr - ₹10.3 L/yr
23% more than the average Associate Salary in India
View more details

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