Senior Manager-Technology Audit

Job Purpose

• Responsible for ensuring the regulatory compliance of Technology Department
• Responsible for managing the regulatory audits and inspections of Technology Department
• Responsible for managing internal audit and process compliance verification of Technology Department
• Responsible for managing internal and regulatory communications

Roles & Responsibilities

Management of policies, procedures and governance framework for Technology Department

• Managing Creation / Modification / Review and management approvals of various policies and process documents of Tech Department
• Maintenance of Data and Reports related to Technology Compliance
• Managing Internal process audits of Tech Department
• Managing the internal Audit activity for System and Network Audit
• Tracking and ensuring various regulatory submissions and compliances
• Providing responses for various communications from SEBI and Internal Compliance Team
• Preparation of agenda notes for various committee meetings
• Coordinating with InfoSec team for any technical requirements for regulatory compliance of Cyber Security
• One point of contact for all the regulatory compliances, communication and audit activities.

Management of Annual System and Network Audit

• Managing the auditor selection process along with the management approvals
• Managing the kick off meeting for commencement of System & Network Audit
• Managing the activities of System & Network Audit
• Collation of data for the audit from various departments
• Arranging Auditors Visit to Data Centres
• Drafting the initial responses for audit findings and managing the activity of providing management responses for the Draft Audit Report
• Review of the Final Audit Report
• Seeking Management Approval for the Final System Audit Report.
• Preparation of agenda notes for Management Approval
• Seeking internal certification from Management for the

Management of Regulatory Inspections & Audits

• Assigning ownership for various data submissions of SEBI Inspection
• Collation of data for the Inspection from various process owners of Tech Department
• Providing responses to various queries of Inspection Team along with the necessary evidences
• Arranging walkthrough session for the inspection team, if required.
• Arranging visit to Data Centres of the Exchange
• Drafting the initial responses for regulatory inspection & audit findings and managing the activity of providing management responses for the Draft observations
• Presenting the inspection observations to Management for notation

Educational Qualification

• Graduate / Postgraduate (Any Stream)
• Preferred CISA/CISM/ISO27001

Experience

12 to 15 years of Experience in the fieldof Internal / Regulatory Auditand Compliance for Exchange

Skills Required

• Exhibit excellent analytical skills

Functional Competencies required

• Executive-level written and verbal communication skills
• Interpersonal and collaborative skills
• Must be a critical thinker with strong problem-solving skills

Behavioral Skills required

• Demonstrate ability to succeed withinfast-paced, high-growth environments.
• Poise and abilityto act calmlyand competently in high-pressure, high- stress situations.
• Ability to managemultiple projects understrict timelines as well as the

ability to work well in a demanding, dynamic environment and meet overall objectives

• High level of personal integrity as well as the ability to professionally handle confidential matters and show an appropriate levelof judgment and maturity.