Enforcement (CISA Certification)

We have one urgent open position for DM role under enforcement (regulatory).

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

Experience range is 0 to 2 years.

Here is the JD I for the required role:-

Candidate from Auditing Firms will be best suitable.

- Analyse system & cyber audit reports submitted by Trading Members / Stockbrokers.

- Review MIS for delay submissions, non-compliance, and non-submissions.

- Address ATR & Follow-On non-submissions, delays, and non-compliance issues.

- Communicate via email with TMs regarding timely submissions and non-compliance matters.

- Conduct quality checks and ensure accuracy of System and Cyber Audit reports.

- Maintain MIS for tracking System and Cyber Audit reports.

- Approve system & cyber audit reports submitted by IMs 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 CERT-IN firm entities for resubmission.

- Submit Algo MIS reports.