Audit Associate - Rajkot - On Site

T C S & Co., Chartered Accountantsis hiring an Internal Audit Associate to conduct internal audits of stockbrokers and inspection audits of Authorised Persons (APs) and sub-brokers. You will manage assignments from planning through report submission, coordinate the audit team, and prepare MIS reports for management.
Key responsibilities
Stockbroker Internal Audits. Review processes, internal controls, and compliance records against applicable audit checklists. Perform sample testing and prepare audit observations supported by evidence.AP and sub-broker inspections. Coordinate inspection schedules, conduct assigned inspections, and document findings and supporting evidence.Audit planning and execution. Prepare audit schedules, coordinate with clients and internal teams, and follow up on pending documents and responses.Audit team management. Allocate work, guide team members on audit procedures, review working papers for completeness, and escalate issues that could affect audit quality or timelines.MIS reporting. Maintain Excel trackers for inspection coverage, audit progress, pending documentation, open observations, and report submission status. Share regular updates with management.Reporting and closure. Consolidate findings, incorporate review comments, coordinate final report submissions, and track follow-up actions where required.
Required qualification : Chartered Accountant (Preferred), CA Finalist, or MBA in Finance.
Skills and experience
Audit execution. Ability to identify risks and controls, conduct process walkthroughs, select samples, and test controls against an audit checklist.Analytical skills. Ability to reconcile records, spot inconsistencies or recurring exceptions, and assess their impact before raising an observation.Audit documentation and report writing. Ability to maintain organised working papers and draft clear, evidence-backed findings that explain the issue, its impact, and the recommended action.Excel and MIS reporting. Proficiency with PivotTables, lookup formulas, SUMIFS, filters, and data validation. Ability to consolidate updates from multiple team members into accurate progress reports.Team coordination and review. Ability to delegate work, brief team members, review the quality of their work, and give actionable feedback.Client communication. Ability to explain document requirements, discuss findings professionally, and follow up on outstanding information and responses.Assignment management. Ability to prioritise concurrent audits and inspections, track deadlines, and escalate delays or significant findings promptly.Professional judgment and confidentiality. Attention to detail, discretion when handling sensitive records, and the ability to distinguish a documentation gap from a potential control or compliance issue.Preferred industry exposure. Experience in stockbroker audits, AP inspections, or securities market compliance. Familiarity with applicable SEBI and stock exchange requirements is an advantage.

Skills
Excel, Documentation

Experience
0-2 yrs

Work arrangement
No