Job Responsibilities

Regulatory Mapping: Monitor, interpret, and disseminate new SEBI circulars related to Trading Systems, Disaster Recovery (DR), and Cyber Security.
Gap Analysis: Conduct regular audits of in-house RMS and Clearing platforms to ensure "Compliance by Design" (e.g., ensuring margin controls and kill-switch mechanisms meet mandated specs).
Vulnerability Governance: Track the remediation of VAPT (Vulnerability Assessment and Penetration Testing) findings as per SEBI-mandated timelines.
Data Aggregation: Coordinate with Database Leads and SRE Managers to extract raw system logs, uptime reports, and incident data required for regulatory disclosures.
System Audit Support: Act as the primary point of contact for external SEBI-empanelled auditors, providing them with the necessary evidence, screenshots, and system walkthroughs.
Evidence Management: Maintain a centralized repository of "Audit-Ready" artifacts, including change logs, DR drill results, and access control matrices.
Regulatory Filing: Own the calendar for all recurring submissions (Quarterly, Half-Yearly, and Annual), including the System Audit Report (SAR) and Cyber Security Audit Report.
Incident Reporting: Ensure that any Major Incident (P1/P0) is reported to SEBI within the stipulated hours (typically within 6 hours of detection) as per current 2026 norms.
Accuracy & Quality: Review all technical data for consistency before submission to ensure no discrepancies between reported metrics and actual system performance.
Track IT compliance tasks and ensure timely submission of Action Taken Reports (ATRs).
Follow up with relevant teams and HODs to make sure all compliance actions are completed as per provided deadlines by Regulator / Management/HOD.
Keep accurate records of all Regulatory communications, circulars, compliance actions, and deadlines related to technology compliance.
Ensure all submitted records and data submitted to Regulator are securely stored.
Assisting audits conducted by regulator on the technology compliances.

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Senior Executive - Regulatory compliance - Technology

Job Description

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