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Quality Auditor

Fresher   Navi Mumbai, Mumbai CityMumbai City, Thane   29 Jul, 2025
Apex Services
Job LocationNavi Mumbai, Mumbai CityMumbai City, Thane
EducationNot Mentioned
SalaryNot Disclosed
IndustryBroking
Functional AreaSecurities Trading
EmploymentTypeFull-time

Job Description

    Dear Candidate,Greetings From APEX SERVICES Role-Quality AuditorCTC- up to- 3 lac incentive Other benefitLanguage preference: - Malayalam, Bengali & TeluguROLES & RESPONSIBILITIES:1) Review and audit recorded calls between dealers and clients for orderplacements.2) Ensure that calls are clear, complete, and accurately reflect the transactionbeing conducted.3) Ensure compliance with financial regulations (e.g., SEBI) and internal policies.4) Identify and report discrepancies or non-compliance issues.5) Prepare and maintain detailed audit reports.6) Collaborate with compliance teams to address any issues.7) Ensure compliance with internal policies regarding call recording, orderplacement procedures, and communication with clients8) Conduct periodic quality checks on call recordings to identify patterns ortrends of errors and non-compliance.9)Recommend improvements in processes, training, or documentation basedon audit findings.10) Document findings of call audits, including any non-compliance or issuesfound during the review.11) Prepare regular audit reports summarizing the compliance of dealersrecorded calls.12) Assist in training dealers regarding the importance of compliance in callrecordings.13) Provide guidance on best practices for ensuring proper order placement viacalls.Kindly reply with an updated CV onapex.darshil@gmail.comif you are interested in the mentioned Job Role. you can call also onhidden_mobile

Keyskills :
stock analysiscommunication skillsshare marketstock marketrisk managementsecurities market

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