Risk and Compliance Auditor (Kolkata)

Risk and Compliance Auditor (Kolkata)

Position : Internal Audit Manager

Experience : 6+ Years

Location : Kolkata

Qualification : CA/MBA-Finance

Key responsibility : Internal Audit Coordination

- Prepared audit checklists and issued half-yearly audit circulars.
- Reviewed Internal Audit Reports and escalated violations for disciplinary action.
- Drafted meeting agendas, minutes, and action letters.
- Coordinated penalty debits with the accounts team and addressed member queries.

2. Data Analysis & Reporting

- Collected and analyzed data from other exchanges and internal teams for member evaluation.
- Used analytics tools to generate reports and flag high-risk or financially stressed members.

3. Limited Purpose Inspections (LPI)





- Scoped and monitored Limited Purpose Inspections based on risk triggers.
- Reviewed reports from regional offices and shared findings with SEBI when required.

4. IT Coordination

- Liaised with IT for system enhancement requests and UAT testing.
- Ensured accurate release of updates in the live setting.
- Coordinated BCP activities across regional offices.

5. Regulatory & Process Management

- Drove process improvements and submitted updates to the Business Excellence team.
- Responded to SEBI/member compliance queries and maintained regulatory records.
- Managed investor awareness campaigns (email/SMS) using UCC data.

Please share your updated CV at:

The original job offer can be found in Kit Job:
kitjob.in/job/179327014