Regulatory Compliance Specialist

16 hours ago


Meerut, Uttar Pradesh, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 12,00,000
Job Description

We are seeking an experienced DM role under enforcement (regulatory) professional to join our team.

The ideal candidate will have a strong background in auditing and regulatory compliance, with a focus on system and cyber audit reports.

This is an urgent opening, and we encourage qualified candidates to apply promptly.

Required Skills and Qualifications

To be successful in this role, you will need:

  • A CISA certification (completed or pursuing) and a CA or MBA finance graduate degree (or BE/B.Tech); preference for CISA+CA combination
  • Experience in analyzing system and cyber audit reports submitted by trading members/stockbrokers
  • Knowledge of MIS and ability to review it for delay submissions, non-compliance, and non-submissions
  • Excellent communication skills, with the ability to communicate via email with TMs regarding timely submissions and non-compliance matters
Responsibilities
  1. Analyze system and cyber audit reports submitted by Trading Members/Stockbrokers
  2. Review MIS for delay submissions, non-compliance, and non-submissions
  3. Address ATR & Follow-On non-submissions, delays, and non-compliance issues
  4. Communicate via email with TMs regarding timely submissions and non-compliance matters
  5. Conduct quality checks and ensure accuracy of System and Cyber Audit reports
  6. Maintain MIS for tracking System and Cyber Audit reports
  7. Approve system & cyber audit reports submitted by IMs on the portal
  8. Review evidence for non-compliances shared by Trading Members/Auditors at level 1
  9. Resolve queries related to System and Cyber Audit reports
  10. Assist in drafting Business Requirement Specifications (BRS) for system enhancement & development
  11. Participate in UAT/final testing of system enhancement/business requirements
  12. Draft circulars based on relevant regulatory circulars at level 1
  13. Conduct RCA Analysis at level 1
  14. Verify and authenticate auditor certificates
  15. Manage conflict of interest in audit reports submitted by TM
  16. Coordinate with CERT-IN firm entities for resubmission
  17. Submit Algo MIS reports
About Us

We are a dynamic organization committed to excellence in regulatory compliance and auditing. We offer a collaborative work environment and opportunities for growth and development.



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