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Keywords / Skills : Suggesting proper checks

3 - 4 years
Posted: 2018-01-12

Industry
Recruitment/Staffing/RPO
Function
Finance & Accounts
Role
Internal Auditor
Posted On
12th Jan 2018
Job Ref code
60937872
Job Description

3-4 years working experience in Broking industry and 2-3 years in Compliance/Audit Department of Broking House. Audit background will be an added advantage. Good written and verbal communication skills. Should be well versed with rules, regulations of Broking, DP & PMS.
Conducting Audit/ Review of various depts, processes and Audit of Sub brokers. Job Profile will include:
1. Planning & Conducting periodic reviews of various Processes and activities for Broking
2. Planning & Conducting periodic reviews of DP Operations
3. Planning & Conducting periodic review of PMS Operations
4. Preparation of reports and taking follow-up action for any violations / deviations observed.
5. Suggesting proper checks and controls for Ensuring non-recurrence of deviations.
6. Preparation of Audit Plan for conducting Branch and Sub broker / AP reviews periodically
7. Preparation of reports and taking follow-up action for any violations / deviations observed.
8. Analysis and circulation of various SEBI and exchange circulars
Visit Branches / Sub Brokers for audit

About Company

From big transnational corporations to fast growing SME's to fledgling start-ups every corporate body is looking for top talent. All of these are keenly aware that the only real competitive advantage they can have and build in today's flat world is the "human capital".

We are servicing this need for many national and international clients across various domains. We have been helping find a large number of our clients quite a few leaders, functional experts as also emerging precocious talent since 1997.

We credit all our success to three things; customer centric work systems, unflinching belief in our corporate values and our synergy enhancing team. We see repeat business and referral as the operative driver of customer feedback.
For more details on us visit www.vitasta.com
Career Advice to Find Better

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