Regulatory Compliance Specialist

16 hours ago


Jaipur, Rajasthan, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000

We are seeking a skilled professional to fill an urgent open position for a DM role under enforcement (regulatory).

Qualification requirements include CISA Certification (completed or pursuing) along with CA or MBA finance graduate or BE/B.Tech, preferably CISA+CA.

The ideal candidate should have 0 to 2 years of experience in the field.

The required skills and qualifications for this role are as follows:

  • Analyzing system & cyber audit reports submitted by Trading Members / Stockbrokers
  • Reviewing MIS for delay submissions, non-compliance, and non-submissions
  • Addressing ATR & Follow-On non-submissions, delays, and non-compliance issues
  • Communicating via email with TMs regarding timely submissions and non-compliance matters
  • Conducting quality checks and ensuring accuracy of System and Cyber Audit reports
  • Maintaining MIS for tracking System and Cyber Audit reports
  • Approving system & cyber audit reports submitted by IMs on the portal
  • Reviewing evidence for non-compliances shared by Trading Members /Auditors at level 1
  • Resolving queries related to System and Cyber Audit reports
  • Assisting in drafting Business Requirement Specifications (BRS) for system enhancement & development
  • Participating in UAT/final testing of system enhancement/business requirements
  • Drafting circulars based on relevant regulatory circulars at level 1
  • Conducting RCA Analysis at level 1
  • Verifying and authenticating auditor certificates
  • Managing conflict of interest in audit reports submitted by TM
  • Coordinating with CERT-IN firm entities for resubmission
  • Submitting Algo MIS reports

This is an excellent opportunity for those who are passionate about working in the enforcement (regulatory) domain.



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