
Audit Compliance Specialist
4 days ago
Job Description for DM Role under Enforcement
Key Responsibilities:- System and cyber audit reports submitted by Trading Members / Stockbrokers require thorough analysis to ensure compliance.
- Reviewing MIS for delay submissions, non-compliance, and non-submissions is a critical aspect of this role.
- Achieving timely resolutions for ATR & Follow-On non-submissions, delays, and non-compliance issues is essential.
- Effective communication via email with TMs regarding timely submissions and non-compliance matters is vital.
- Conducting quality checks and ensuring the accuracy of System and Cyber Audit reports is paramount.
- Maintaining accurate MIS tracking System and Cyber Audit reports ensures seamless operations.
- Approving system & cyber audit reports submitted by IMs on the portal necessitates attention to detail.
- Reviewing evidence for non-compliances shared by Trading Members /Auditors at level 1 requires meticulous scrutiny.
- Resolving queries related to System and Cyber Audit reports in a timely manner is crucial.
- Assisting in drafting Business Requirement Specifications (BRS) for system enhancement & development facilitates growth.
- Participating in UAT/final testing of system enhancement/business requirements promotes accountability.
- Drafting circulars based on relevant regulatory circulars at level 1 necessitates strong communication skills.
- Conducting RCA Analysis at level 1 enhances understanding of complex systems.
- Verifying and authenticating auditor certificates ensures credibility.
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