Broking Auditor [04 / 10 / 2025]

Hiring for a leading CA firm for Mumbai Location.

Roles & Responsibilities

➢ Perform audits on broking operations to verify adherence to compliance and regulatory requirements.

➢ Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues.

➢ Perform detailed audits of broking activities, including trading practices, client transactions, and account management.

➢ Evaluate the effectiveness of internal controls and risk management processes related to broking operations.

➢ Ensure that broking operations adhere to relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements.

➢ Monitor changes in regulatory requirements and update audit practices as needed.

➢ Analyze transaction records, trade confirmations, and client communications to identify

discrepancies, unauthorized activities, or compliance issues.

➢ Verify the accuracy and integrity of financial reporting related to broking activities.

➢ Assess the design and effectiveness of internal controls implemented in broking processes.

➢ Identify control weaknesses or gaps and recommend improvements to enhance operational efficiency and compliance.