IT Audit & Compliance

• Key Responsibilities:-

• Ensuing SEBI Guidelines are followed going through new sebi rules which keep coming
• Creating reports for multiple Audits and Submitting to exchange
• Operational Audit (Evaluation of Company operations on IT/Security and Trading)
• IT Risk Audit
• Policy Enforcement
• Documentation
• Data protection Audits
• Application Audits.
• Performing Internal Audits
• Being updated with latest Audit Frameworks

• Core Technical & Compliance Skills for IT Audit:-

• Audit Frameworks & Standards

• Familiarity with SEBI Cyber Security Guidelines
• Understanding of ISO 27001, COBIT, NIST, SOC 2 frameworks
• Awareness of SEBI circulars (e.g., System audit, VAPT frequency, cyber incident reporting timelines)

• IT Risk Management

• Conducting and documenting IT Risk Assessments
• Understanding of risk rating (like impact, residual risk, control mapping)
• Hands-on with risk registers, risk treatment plansApplication & Infrastructure Audit
• Review of access Management, change management, backup,logging, resilience.
• Ensure event log generation, session handling, security controls are in place.
• Experience in tools like Nessus

• Policy and Process Review

• Drafting & validating IT policies: password, backup, access, data retention, encryption
• Ensuring enforcement across systems (check if logs, permissions, and configurations reflect policy)

• Data Protection & Privacy Audits:

• Understanding of data classification, masking, retention
• Checking secure storage, encryption in transit/at rest, user access logs
• Checking secure storage, encryption in transit/at rest, user access logs

• Security Control Validation:

• Hands-on or coordination of VAPT, patch audits, firewall rule reviews
• Check for 2FA, antivirus, endpoint control agents
• Check SFTP access, SSH key usage, or public cloud IAM policies

• Documentation, Reporting & Regulatory Submissions:

• Creating Audit Trail, Evidence Repositories, and compliance dashboards
• Creating documents, reports, critical asset inventory.
• Prepare reports for SEBI, stock exchanges (NSE/BSE), internal compliance teams
• Format audit findings as per regulatory template

• Monitoring & Logging Validation:

• Review of tools like Zabbix, Nagios, or SIEM systems
• Check for log retention periods, event types, and audit policy alignment

• Access Control Auditing:

• Reviewing LDAP/IAM policies
• Checking least privilege, role-based access control (RBAC)

Your Contact Number &Email Address-7489933130,[HIDDEN TEXT]