B2B - Internal Audit , Compliance and Risk
Anand Rathi Group · Mumbai · onsite · Posted 30d ago
About a minute. You'll make an account on the way through.
About this role
- Conduct internal audits and compliance reviews across B2B business operations.
- Monitor adherence to internal policies, SOPs, regulatory and exchange guidelines.
- Review voice recordings/calls to identify compliance deviations, mis-selling, or inappropriate communication.
- Monitor and support PMLA, KYC & AML compliance requirements.
- Conduct transaction and business surveillance to identify unusual activities, deviations, and potential risks.
- Track audit observations, compliance gaps, and ensure timely closure.
- Prepare MIS, audit reports, surveillance reports, and compliance dashboards.
- Coordinate with Business, Operations, Risk, and Compliance teams on escalations and corrective actions.
- Support internal, external, exchange, and regulatory audits.
Key Skills
- Internal Audit & Compliance
- PMLA / KYC / AML
- Surveillance & Risk Monitoring
- Voice Recording Audit
- Regulatory Compliance
- MS Excel & MIS
- Analytical & Investigation Skills
- Stakeholder Management
Sourced from naukri
Skills
About Anand Rathi Group
Anand Rathi Group
Mumbai, Maharashtra
India
₹8.1L PA avg
Avg at Anand Rathi Group
₹3.5L – ₹4.8L PA
This role
About
Anand Rathi Group is one of India's fastest growing full service securities firm. The services offered range from Wealth Management, Investment Banking, Corporate Finance & Advisory, Brokerage & Distribution in the areas of equities, commodities, mutual funds and insurance. With presence at over 180 locations, the Group caters to the financial needs of well-reputed Corporate Groups, Institutions, Foreign Investors and Individuals. In order to meet our growth plans, we are looking for young, dynamic and result-oriented candidates .
Industries
Employee ratings
10 reviews
Culture
3.7
Career growth
2.9
Work-life
3.2
Employees rate it well for
Find them on