Audit Executive Fresher, Mumbai (Sion)

Job Description

• Individual is responsible for conducting audits of Authorized Persons (AP) of stockbrokers. 
• Meaning of AP: It is an individual or entity appointed by a registered stockbroker to facilitate trading and related activities on their behalf. 
• They act as an intermediary between the stockbroker and clients.

• Review and understand the audit requirements for Authorized Persons (APs) in accordance with SEBI and stock exchange regulations.
• Plan the audit route and finalize arrangements of outstation routes
• Develop a structured audit plan, prioritizing key compliance areas. Coordinate with the Authorized Person for scheduled audits
• Conduct examination of scheduled AP’s whether they are adhering to regulatory guidelines.
• Identify non-compliance issues and recommend corrective actions.
• Ensure proper documentation of the audit executed