DM Regulatory Compliance Specialist

1 week ago


Ahmedabad, Gujarat, India beBeeEnforcement Full time ₹ 8,00,000 - ₹ 12,10,000
Job Overview

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)
Key Responsibilities
  1. Analyse system & cyber audit reports submitted by Trading Members / Stockbrokers
  2. Review MIS for delay submissions, non-compliance, and non-submissions
  3. Address ATR & Follow-On non-submissions, delays, and non-compliance issues
  4. Communicate via email with TMs regarding timely submissions and non-compliance matters
  5. Conduct quality checks and ensure accuracy of System and Cyber Audit reports
  6. Maintain MIS for tracking System and Cyber Audit reports
  7. Approve system & cyber audit reports submitted by IMs on the portal
  8. Review evidence for non-compliances shared by Trading Members /Auditors at level 1
  9. Resolve queries related to System and Cyber Audit reports
  10. Assist in drafting Business Requirement Specifications (BRS) for system enhancement & development
  11. Participate in UAT/final testing of system enhancement/business requirements
  12. Draft circulars based on relevant regulatory circulars at level 1
  13. Conduct RCA Analysis at level 1
  14. Verify and authenticate auditor certificates
  15. Manage conflict of interest in audit reports submitted by TM
  16. Coordinate with CERT-IN firm entities for resubmission
  17. Submit Algo MIS reports


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