
Regulatory Enforcement Specialist
2 days ago
We seek a highly skilled specialist to drive regulatory enforcement efforts.
The ideal candidate will have a strong background in auditing and compliance, with a focus on risk management.
Key Responsibilities:
- Analyze audit reports for trading members/stockbrokers, identifying areas of non-compliance.
- Review Management Information Systems (MIS) for delay submissions and non-compliance issues.
- Address Attestation Reports (ATR) and follow-on issues related to non-submissions, delays, and non-compliance.
Requirements:
- CISA Certification (completed/pursuing) + CA or MBA finance graduate or BE/B.Tech degree.
- Minimum 0-2 years of experience in auditing and compliance.
Benefits:
- Opportunity to work with a dynamic team.
- Professional growth and development opportunities.
This role is ideal for individuals seeking a challenging career in regulatory enforcement. If you have a strong background in auditing and compliance, we encourage you to apply.
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