Financial Compliance Specialist

5 days ago

Allahabad, Uttar Pradesh, India beBeeAuditor Full time ₹ 15,00,000 - ₹ 25,00,000
Internal Auditor RoleJob Summary

The Internal Auditor will be responsible for conducting audits to ensure the effectiveness of our internal controls, processes and systems.

  • Prepare audit checklists and issue half-yearly audit circulars.
  • Review internal audit reports and escalate violations for disciplinary action.
  • Draft meeting agendas, minutes and action letters.
  • Coordinate penalty debits with the accounts team and address member queries.

Key Responsibilities:

Data Analysis & Reporting

  • Collect and analyze data from other exchanges and internal teams for member evaluation.
  • Use analytics tools to generate reports and flag high-risk or financially stressed members.

Limited Purpose Inspections (LPI)

  • Scope and monitor Limited Purpose Inspections based on risk triggers.
  • Review reports from regional offices and share findings with regulatory bodies when required.

IT Coordination

  • Liaise with IT for system enhancement requests and UAT testing.
  • Ensure accurate release of updates in the live environment.
  • Coordinate Business Continuity Planning activities across regional offices.

Regulatory & Process Management

  • Drive process improvements and submit updates to the business excellence team.
  • Respond to regulatory/membership compliance queries and maintain regulatory records.
  • Manage investor awareness campaigns using UCC data.

Requirements

6+ years of experience in a related field such as auditing, finance or business analysis. CA/MBA-Finance qualification preferred.

Strong analytical and problem-solving skills. Excellent communication and interpersonal skills.

Ability to work independently and as part of a team.

Location: Kolkata.

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