AddressManager - 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.
