About Company Shah Kapadia Associates SKA is a pioneer in the field of the securities market for Audit assurance SEBI compliance assistance Process review Risk management etc SKA has successfully managed to serve more than 100 SEBI intermediaries with the robust support of our 300 employees PAN India level With continuous efforts and dedication Shah Kapadia Associates has embarked itself among the top 3 CA firms in the Capital market The Role Role Authorised Person Audit Individuals are 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 Key Responsibilities 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 The role involves traveling outside Maharashtra for two weeks each month All expenses associated with it will be borne by the company You will be responsible for Planning and executing business risk and other audits activities across various business units Preparing scheduling planning executive and reviewing internal audits according to the annual audit plans in conjunction with various stakeholders Evaluating the effectiveness of internal controls to address financial operational external and other relevant risks Recommending ways to improve internal controls and governance processes Presenting periodic reports and audit findings to the senior management Deliver quality auditing services and helping clients meet their reporting requirements by providing an independent verification of their compliance with accounting principles Reporting audit findings and recommending improvements Developing and maintaining productive working relationships with clients Ideal Profile You have at least 0-1 year experience within a AP Audit External Audit or Internal Audit role ideally within the Brokerage Securities Exchange industry You are adaptable and thrive in changing environments You are a strong team player who can manage multiple stakeholders You are a strong networker relationship builder You are willing to undertake more than 60 travel What s on Offer Attractive Salary Benefits

📌 Audit Executive (Mumbai)
🏢 SKA
📍 Mumbai