Website:
tcsandco.com
Job details:
Job Title: Audit Manager - Capital Markets & Broker Compliance
Company: T C S & CO.
Location: 1209, The Spire 2, Shital Park, 150 Feet Ring Road, Rajkot, Gujarat - 360006 (Includes field audit coordination/travel)
Qualification: MBA - Finance (Required)
About the RoleWe are seeking an MBA - Finance professional to lead a dedicated audit team managing end-to-end field audits, specifically Authorized Person (AP) inspections, Stock Broker Internal Audits, and Depository Participant (DP) Audits.
In this role, you will coordinate on-site field auditors and evaluate compliance with SEBI regulations, Stock Exchange (NSE/BSE) guidelines, and Depository (CDSL/NSDL) bye-laws. You will analyze field data, prepare detailed MIS reports, coordinate with stock broker compliance and operations teams, track findings, resolve queries, ensure report closure, and collaborate with partners to design risk-mitigation strategies.
Key Responsibilities- Team Leadership & Audits: Lead field auditors executing AP, Stock Broker, and DP internal audits.
- Regulatory Compliance: Oversee adherence to SEBI, NSE/BSE, and CDSL/NSDL regulations.
- Data & MIS Reporting: Analyze field audit data and deliver comprehensive MIS reports to broker management.
- Coordination & Closure: Act as central liaison between field teams and brokers to resolve queries, track findings, and ensure report closure.
- Risk Mitigation: Work with partners to build tailored compliance and risk strategies for financial sector clients.
Requirements- Education: MBA - Finance.
- Experience: Proven background in capital markets, stock broking, or broker compliance audits.
- Technical Skills: Strong understanding of SEBI/Exchange/Depository norms and robust MIS/data analysis skills.
- Certifications: NISM compliance/depository certifications are a plus.
How to ApplyInterested candidates may share their CV directly at: info.admin@catcsandco.com
#MBAFinance #AuditJobs #StockMarket #Compliance #SEBI #FinanceJobs #Hiring #RajkotJobs #AuditManager #CapitalMarkets
Click on Apply to know more.
