Compliance Audit Specialist

Hiring for a leading CA firm for Mumbai location. (Qualified CA)

Alternative Investment Funds Audits :

➢ Conduct detailed review and audits of compliance with the SEBI AIF Regulations as well as

compliance

with the Fund Documents.

Investment Banking Audits :

➢ Conduct comprehensive audits of investment banking activities, including underwriting and advisory

services.

➢ Evaluate the effectiveness of internal controls and risk management processes.

➢ Ensure compliance with relevant regulations and industry standards.

Research Analysts Audits :

➢ Review the methodologies and practices used by research analysts to ensure compliance with ethical

standards and regulatory requirements.

➢ Assess the accuracy and integrity of research reports and recommendations.

➢ Examine research reports and recommendations for completeness, accuracy, and adherence to

ethical guidelines.

➢ Ensure that research findings are supported by adequate evidence and analysis.

➢ Verify that research activities comply with relevant regulations, industry standards, and internal

policies.

➢ Monitor changes in regulations and ensure that research practices are updated accordingly.

➢ Evaluate the effectiveness of internal controls related to research activities.

➢ Identify any gaps or weaknesses in controls and recommend improvements.