Senior Executive - QA & 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

Key Result Areas

1. Management of Annual System and Network Audit

• 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
• 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 completion of System Audit

2. Management of Regulatory Inspections

• 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
• Managing the activity of providing management responses for the Draft observations
• Presenting the inspection observations to Management for notation
• Managing Creation, Modification and review of various 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

3. Providing responses for various communications from SEBI and Compliance Team