Audit Executive Job in Mumbai at shah kapadia & associates

Dear Candidate,

We are one of the top CA firm in Mumbai specialized in providing Compliance advisory services, Inspections, Audits of multiple Broking houses, Depository Participants, AMC's, NBFC etc. We have a PAN India presence with more than 300 clients.

About role:

Designation: Audit executive

Department : Audit/ Inspection

Industry: Stock Broking

Qualification: Specialized in Commerce Background

Location: Mumbai ( Sion)

Handled compliance related inspections of various types of Brokers of the Exchange
including Small & Medium Size stock brokers, proprietary traders, brokers having
institutional clients, banks dealing in equity market and big broking houses.
 Conducting in-depth financial analysis and risk assessment of stock broker to gauge
their solvency and to evaluate the potential risk they pose to system.
 Conducting and managing Internal audits of various broking Houses
 Assisting and providing expert advice to Stock Brokers, DP’s and other clients
regarding compliances.
 Drafting of various observations of the queries raised by Exchanges/ SEBI.
 Implementing various circulars issued by NSE/SEBI
 Client Co-Ordination and assisting team for the various audits.

Job Type: Full-time/ Permanent

Job Type: Full-time

Job Type: Full-time

Salary: ₹9,000.00 - ₹15,000.00 per month

Schedule:

• Morning shift

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