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
Positive 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 (India)
🏢 Mehta Sanghvi and Associates
📍 India