Enforcement Compliance Officer

6 days ago

Aurangabad, Maharashtra, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000
Compliance Specialist Job

We are seeking a detail-oriented professional to fill the Compliance Specialist position. This role involves analysing system and cyber audit reports submitted by trading members or stockbrokers.

Main Responsibilities:
  • Analyse system & cyber audit reports for accuracy and completeness.
  • Review MIS for delay submissions, non-compliance, and non-submissions.
  • Address ATR & Follow-On non-submissions, delays, and non-compliance issues.
  • Communicate with trading members regarding timely submissions and non-compliance matters.
  • Conduct quality checks to 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 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 external firms for resubmission.
  • Submit Algo MIS reports.
Requirements:
  • CISA Certification (completed/pursuing)
  • CA or MBA finance graduate or BE/B.Tech (preference CISA+CA)
  • 0-2 years of experience

This is an exciting opportunity to work in compliance and make a meaningful contribution to the team.

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