Auditor – Shankar Ramesh & Co LLP (Chartered Accountants)

⚠️ EXTENSIVE TRAVELLING REQUIRED: this is a field role with frequent outstation travel across India. Apply only if you are ready to travel most of the month.

We’re hiring Auditors for our broking audit practice. You’ll audit stock-broker Authorised Persons (APs) and branches across India, and support half-yearly internal audits of stock-broking member firms.

AP and branch audits of Stock Brokers (eg. Angel One, Motilal Oswal):

- Travel to AP and branch locations to audit them in office
- Check that terminals run from the reported location
- Verify approved terminal users, displays, registers and NISM certificates
- Scan and review documents
- Verify trades with pre-trade confirmations and call recordings
- Review bank statements and social media for non-compliance
- Prepare the audit report on our audit portal

Internal audits of Stock Brokers and Market Intermediaries:

- Run the questionnaire and sampling
- Collect data from the member and load the exchange sample files (NSE, BSE, MCX, NCDEX)
- Verify KYC, margin, contract notes, settlements, bank reconciliations and policies
- Record observations in the exchange report formats

📌 Auditor (Jaipur)
🏢 Shankar Ramesh LLP
📍 Jaipur