Manager - Audit - IT

Manager - Audit

JD for technical aspect :

Qualification and experience :

1. Graduation/PG in technology discipline with at least 5 years of experience in development.

2. Good to have certification in CISA or ISO 27001

3. At least 2-3 years of audit experience.

4. Knowledge of IT/System of Stock brokers

JOB Description:

- Analysis of the Root Cause Analysis (RCA) submitted by Members for Technical Glitches reported by Members.

- Assist in Members Inspections for below areas:

- Technical Glitches

- System/Cyber Audit & Cyber Incidents

- VAPT

- LAMA system

- Maintenance of Exchange's Logging and Monitoring Mechanism (LAMA) system, implementing alerts and developments that are required from from time to time.

- Mapping the RCAs with the circular and identifying GAPS.

- Correlation of Technical glitches with LAMA alerts and periodic system audit reports submitted by Stock Brokers.

- Maintenance and enhancements of LAMA alerts and identify concern areas.

- Monitoring key parameters to gauge the health of the trading systems of the specified Members through Logging and Monitoring Mechanism (LAMA) system.

- Understanding the circulars issued by SEBI wrt technical glitches, Cyber Security and System Audit, Vulnerability Assessment and Penetration Tests (VAPT) Assist in review of Members submissions related to System/ Cyber Audit/RCA of Cyber Incidents/VAPT/ Technical Glitches. - Coordinating with Members/ Auditors to corrective actions and identification of action points.

- Monitoring/Review of submissions by Colo Members/Participants and CAAS & ASP Vendors.

- Review of Cyber Security audit recommendations and identification of implementation gaps by Stock brokers

- Review the network security architecture of Stock brokers

- Preparation & Review of SOP for all processes

- Verify major control points in the System and Cyber framework for Stock Brokers

- Ensuring all controls are implemented wrt capacity management and as per guidelines of SEBI circulars.

- Review of Business Continuity policy for stock brokers, review of controls implemented wrt Business Continuity Plan.

- Preparing the audit report relared to technical aspects of stock brokers basis the findings on reviews conducted by Exchange.

- Managing all the Governance meeting including follow-up actions

- Interact with SEBI for technical matters related to Members of the Exchange.