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

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 – 15 years of Experience in the fieldof Internal / Regulatory Audit and 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 level of judgment and maturity.