Regulatory Compliance Specialist

19 hours ago

Lucknow, Uttar Pradesh, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 15,00,000

Job Title: Regulatory Compliance Specialist

Job Overview

We are seeking a highly skilled Regulatory Compliance Specialist with CISA certification to join our team. The ideal candidate will have a strong background in regulatory compliance, finance, or a related field, and excellent analytical skills.

Key Responsibilities:

  • Analyze system & cyber audit reports submitted by trading members / stockbrokers.
  • Review management information systems (MIS) for delay submissions, non-compliance, and non-submissions.
  • Address adverse findings & follow-on non-submissions, delays, and non-compliance issues.
  • Communicate via email with trading members 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 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.
  • Assist in drafting business requirement specifications (BRS) for system enhancement & development.
  • Participate in user acceptance testing/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 CERT-IN firm entities for resubmission.
  • Submit algorithmic MIS reports.

Required Skills & Qualifications:

  • A strong background in regulatory compliance, finance, or a related field.
  • Excellent analytical skills.
  • CISA certification.

Why Work With Us?

We offer a dynamic work environment with opportunities for growth and professional development. Our team is passionate about delivering exceptional results and making a positive impact.

Additional Info:

Please note that this job description is not an exhaustive list of responsibilities. You may be required to perform other duties as needed. We are an equal opportunities employer and welcome applications from diverse candidates.

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