
DM Regulatory Compliance Specialist
1 week ago
We are seeking a highly skilled and motivated professional to fill the position of DM Role under Enforcement (Regulatory).
Required Skills and Qualifications- CISA Certification: Completed or Pursuing
- CA or MBA Finance Graduate
- BE/B.Tech (Preference: CISA+CA)
- Analyse system & cyber audit reports submitted by Trading Members / Stockbrokers
- Review MIS for delay submissions, non-compliance, and non-submissions
- Address ATR & Follow-On non-submissions, delays, and non-compliance issues
- Communicate via email with TMs regarding timely submissions and non-compliance matters
- Conduct quality checks and ensure accuracy of System and Cyber Audit reports
- Maintain MIS for tracking System and Cyber Audit reports
- Approve system & cyber audit reports submitted by IMs 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
- Assist in drafting Business Requirement Specifications (BRS) for system enhancement & development
- Participate in UAT/final testing of system enhancement/business requirements
- Draft circulars based on relevant regulatory circulars at level 1
- Conduct RCA Analysis at level 1
- Verify and authenticate auditor certificates
- Manage conflict of interest in audit reports submitted by TM
- Coordinate with CERT-IN firm entities for resubmission
- Submit Algo MIS reports
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