Regulatory Compliance Officer

7 hours ago

Bellary, Karnataka, India beBeeCompliance Full time ₹ 72,00,000 - ₹ 1,20,00,000

Job Role: Regulatory Compliance Officer (CISA Certification)

We have an urgent opening for a highly skilled professional to join our team in the enforcement department. The ideal candidate will possess excellent analytical and communication skills, with a strong background in finance and regulatory compliance.

Key Responsibilities:

  • Analyze system & cyber audit reports submitted by trading members/stockbrokers
  • Review management information systems for delay submissions, non-compliance, and non-submissions
  • Address ATR & 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 management information systems 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 and 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

Qualification Requirements:

  • CISA Certification (completed/pursuing)
  • CA or MBA finance graduate
  • BE/B.Tech (preference CISA+CA)

Experience: 0-2 years

This is a fantastic opportunity for a motivated and detail-oriented individual to make a meaningful contribution to our team.

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