Sr Executive AM Audit Visit Large broking House

Job Description:

Responsibilities:

• Senior Executive need to analyze data prepared by executive prior visit.

• Senior Executive need to visit Company branches and Authorised persons (franchisee) assigned by HOD within time frame.

• Senior Executive need to observe the noncompliance and other observations as per checklist of Inspection and controls team.

• Senior Executive need to prepare Audit report and submit to HOD and management.

• Problematic observations need to escalate to HOD within TAT.

• Senior Executive need to prepare MIS and maintain the same according to format.

• Audit visit done by Senior executives are in form of reports sent to management and compliance with observations.

• Compliance team with help of Business Development team closes observations.

• Audit reports of AP are uploaded in Exchange records By compliance and BD Team.
• Audit Team of Inspection and controls team completes the Audit Visit of Company branches and Authorised persons (Franchisee) as per regulatory requirement and share the reports within time frame to follow regulatory compliance.

Audit Reports,Statutory Audit,Branch audit,Franchise Audit