We at MEHTA SANGHVI & ASSOCIATES(MSA), have an urgent job requirement for the position of Internal Audit/Compliance Audit with our firm. We are a Chartered Accountancy Firm servicing more than 150 members of NSE, BSE, MCX, NCDEX, MSEI, CDSL and NSDL.

Key Responsibilities:
- Conduct internal audits of stock brokers, sub-brokers, and depository participants
- Review:
- Client onboarding (KYC, CKYC, PMLA compliance)
- Margin reporting and risk management systems
- Trading and settlement processes
- Evaluate internal controls and identify gaps
- Prepare audit reports with observations and recommendations

Compliance Audit
- Ensure compliance with:
- SEBI regulations
- Exchange circulars (NSE/BSE/MCX, etc.)
- Depository guidelines (CDSL/NSDL)
- Verify:
- Client fund and securities segregation
- Reporting to exchanges and regulators
- Investor grievance handling mechanisms
- Conduct periodic compliance audits and certifications

Regulatory & Process Review
- Review adherence to:
- PMLA / Anti-Money Laundering norms
- Insider trading regulations
- Risk management framework




- Assist in preparation of:
- Compliance reports
- Due diligence reports
- Regulatory submissions

Documentation & Reporting
- Draft audit reports, management letters, and compliance checklists
- Maintain proper working papers and audit documentation
- Follow up on audit observations and closure

Required Skills:
- Robust analytical and problem-solving skills
- Good understanding of financial and regulatory frameworks
- Proficiency in MS Excel and documentation
- Attention to detail and report-writing skills

Communication: Excellent verbal and written communication for report writing and client interaction.

Education: Bachelor’s degree in Accounting/Finance or Qualified Chartered Accountant.

Office Location: Kandivali West, Mumbai.

Pay: ₹20,000.00 - ₹40,000.00 per month

Application Question(s):
- How many years of relevant experience you have in Audit ?
- Do have any exposure to Broking Industry ?

📌 Internal Auditor (Mumbai)
🏢 Mehta Sanghvi and Associates
📍 Mumbai