Quality Auditor

Position Overview:

We are seeking a Quality Auditor to verify call recordings of dealers placing orders via trading terminals. This role ensures that all recorded calls comply with regulatory standards and internal policies, maintaining the integrity and accuracy of trading transactions.

Key Responsibilities:

• Review and audit recorded calls between dealers and clients for order placements.
• Ensure that calls are clear, complete, and accurately reflect the transaction being conducted.
• Ensure compliance with financial regulations (e.g., SEBI) and internal policies.
• Identify and report discrepancies or non-compliance issues.
• Prepare and maintain detailed audit reports.
• Collaborate with compliance teams to address any issues.
• Ensure compliance with internal policies regarding call recording, order placement procedures, and communication with clients.
• Conduct periodic quality checks on call recordings to identify patterns or trends of errors and non-compliance.
• Recommend improvements in processes, training, or documentation based on audit findings.
• Document findings of call audits, including any non-compliance or issues found during the review.
• Prepare regular audit reports summarizing the compliance of dealers recorded calls.
• Assist in training dealers regarding the importance of compliance in call recordings.
• Provide guidance on best practices for ensuring proper order placement via calls.

Qualifications:

• Language preference: - Malayalam, Bengali & Telugu
• Experience in quality auditing or compliance (preferably in financial services).
• Strong knowledge of stock exchange operations and regulations.
• Attention to detail and excellent analytical skills.
• Bachelor's degree in any stream.