Regulatory Compliance Specialist

22 hours ago

Shimoga, Karnataka, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 15,00,000

Job Title:

Compliance Assurance Officer (Regulatory)

 

We are seeking a skilled professional to fill a Compliance Assurance Officer (Regulatory) position. This role is critical in ensuring adherence to regulatory requirements and maintaining the highest standards of integrity within our organization.

Key responsibilities include:

  • Reviewing and analyzing system and cyber audit reports submitted by trading members and stockbrokers.
  • Ensuring timely submissions and addressing non-compliance issues related to ATR and follow-on non-submissions, delays, and non-compliances.
  • Communicating with trading members regarding submission deadlines and compliance matters via email.
  • Conducting quality checks to ensure accuracy of system and cyber audit reports.
  • Maintaining and managing MIS for tracking system and cyber audit reports.
  • Approving system and cyber audit reports submitted by internal managers on the portal.
  • Reviewing evidence for non-compliances shared by trading members or auditors at level 1.
  • Resolving queries related to system and cyber audit reports.
  • Assisting in drafting business requirement specifications for system enhancement and development.
  • Participating in UAT and final testing of system enhancements and 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 trading members.
  • Coordinating with CERT-IN firm entities for resubmission.
  • Submitting algo MIS reports.

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