Audit and Compliance Specialist
Anand Rathi Share and Stock Brokers LtdRepublic Of India, IN30+ days ago
Job descriptionAssisting in conducting internal audits as per the approved audit plan. Prepare draft audit observations and assist in compiling audit reports. Liaise with departments to gather data and clarify audit queries. Track implementation of corrective actions based on audit findings. Verify the financial statements and records. Review of SEBI regulations, exchange rules, and internal policies. Identify and evaluate operational, financial, and regulatory risks and Identify control deficiencies and suggest improvements
Preferred candidate profile :
- Candidates working for stock broking companies will be preferred.
- Relevant professional qualifications are Graduation with relevant experience / CA Inter / CA.
- Communication and People Management skills are must.
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Compliance Specialist • Republic Of India, IN
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