Senior Regulatory Compliance Specialist

1 day ago

Kolkata, West Bengal, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 15,00,000

The role of Compliance Officer entails ensuring that the organization adheres to regulatory requirements.

Key Responsibilities:
  • Analyzing system and cyber audit reports submitted by trading members/stockbrokers for compliance with regulations.
  • Reviewing Management Information Systems (MIS) for delays, non-compliance, and non-submissions.
  • Addressing Audited Transaction Reports (ATR) and follow-on non-submissions, delays, and non-compliance issues.
  • Communicating via email with trading members regarding timely submissions and non-compliance matters.
  • Conducting quality checks and ensuring accuracy of System and Cyber Audit reports.
  • Maintaining MIS for tracking System and Cyber Audit reports.
  • Approving system & cyber audit reports submitted by internal managers on the portal.
  • Reviewing evidence for non-compliances shared by trading members/auditors at level 1.
  • Resolving queries related to System and Cyber Audit reports.
  • Assisting in drafting Business Requirement Specifications (BRS) for system enhancement & development.
  • Participating in User Acceptance Testing (UAT)/final testing of system enhancement/business requirements.
  • Drafting circulars based on relevant regulatory circulars at level 1.
  • Conducting Root Cause Analysis (RCA) at level 1.
  • Verifying and authenticating auditor certificates.
  • Managing conflict of interest in audit reports submitted by trading members.
  • Coordinating with CERT-IN firm entities for resubmission.
  • Submitting Algorithmic Monitoring Information (Algo MIS) reports.
Requirements:
  • Certified Information Systems Auditor (CISA) Certification
  • Chartered Accountant (CA) or Master's in Business Administration (MBA) finance graduate degree
  • Bachelor of Engineering/Bachelor of Technology (BE/B.Tech) background preferred
  • 0-2 years of experience

This role is ideal for auditing firms candidates.

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