DM Role in Regulatory Enforcement

2 weeks ago


Belgaum, Karnataka, India beBeeEnforcement Full time ₹ 8,00,000 - ₹ 12,00,000
Job Title

We are seeking a seasoned professional to fill the position of Enforcement Specialist.

Key Responsibilities:
  • Assess and analyze system and cyber audit reports submitted by trading members/stockbrokers for compliance and accuracy.
  • Monitor and review management information systems (MIS) for delay submissions, non-compliance, and non-submissions.
  • Address and resolve advanced threat reporting (ATR) and follow-on non-submissions, delays, and non-compliance issues.
  • Communicate with traders regarding timely submissions and non-compliance matters via email.
  • Perform quality checks to ensure the accuracy of system and cyber audit reports.
  • Maintain MIS for tracking system and cyber audit reports.
  • Approve system & cyber audit reports submitted by internal managers on the portal.
  • Review evidence for non-compliances shared by trading members/auditors at level 1.
  • Resolve queries related to system and cyber audit reports.
  • Collaborate with cross-functional teams to draft business requirement specifications (BRS) for system enhancement & development.
  • Participate in user acceptance testing (UAT)/final testing of system enhancement/business requirements.
  • Draft circulars based on relevant regulatory circulars at level 1.
  • Conduct root cause analysis (RCA) at level 1.
  • Verify and authenticate auditor certificates.
  • Manage conflict of interest in audit reports submitted by trading members.
  • Coordinate with external entities for resubmission.
  • Submit algorithmic (Algo) MIS reports.


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