
Regulatory Compliance Officer
20 hours ago
Job Summary:
We are seeking a skilled Enforcement Specialist to join our team.
This role involves analyzing system and cyber audit reports submitted by trading members/stockbrokers. You will also review MIS for delay submissions, non-compliance, and non-submissions.
A key aspect of this position is addressing ATR & follow-on non-submissions, delays, and non-compliance issues.
Your responsibilities will include communicating via email with TMs regarding timely submissions and non-compliance matters.
You will conduct quality checks and ensure accuracy of System and Cyber Audit reports.
Maintaining MIS for tracking System and Cyber Audit reports is another critical task in this role.
Requirements:
- CISA certification completed/pursuing.
- CA or MBA finance graduate preferred.
- BE/B.Tech (preference CISA+CA).
Experience:
- 0-2 years in enforcement (regulatory).
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