Manage regulatory compliance including monitoring laws, preparing reports, conducting audits, and ensuring accurate data analysis and document maintenance. Lead and implement compliance strategies across the organization.
Location: Mumbai
Work arrangement: 5 days in the office
About Upstox:
At Upstox, we’re building the future of investing — simple, powerful, and for everyone. We're one of India’s fastest-growing fintech platforms, backed by the best in the business, including Mr. Ratan Tata and Tiger Global, and on a mission to make wealth creation accessible to every Indian. From first-time investors to seasoned traders, millions trust us to power their financial journeys. We're not just moving fast — we’re moving with purpose. If you thrive in a high-energy, high-impact environment, you're in the right place.
About Team:
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance assess the firms compliance, regulatory and reputational risk, monitors for compliance with new or amended laws , rules , regulations and guidelines, designs and implements controls, policies , procedure, conducts surveillance , monitors for compliance risks and breaches and leads the firms response to regulatory examination, audits and inquiries.
We are looking for who possess sound judgment, adaptable to changing regulatory landscape . You will be part of a team with members from a wide range of academic and professional background.
Key Responsibilities:
Regulatory Compliance:
Responsible for regulatory compliance - Ensure compliance with all rules, regulations, byelaws, circulars and other guidelines, issued from time to time, by the exchanges, depositories, SEBI, and other regulatory bodies.
Manage all operational processes as per regulatory framework to ensure compliance to the regulatory guidelines.
Maintenance of process documents (SOPs), Policies, trackers for ensuring adequate records are in place for easy data extraction, and carryout relevant updations in the same from time to time
Handle preparation, reporting and submission of necessary reports and documents to the relevant authorities in an accurate and timely manner.
Liaising with Exchanges, Depositories for routine matters
Circular Tracking and Implementation:
Track and interpret circulars from all concerned regulatory bodies and conduct discussions with all stakeholders.
Understand system requirements and draft business requirements,if applicable.
Carry out the relevant changes in the processes / documents in line with the regulatory circulars / guidelines
Oversee the end to end implementation of necessary changes.
Data Analysis and Compliance Assurance:
Perform data analysis to ensure accurate reporting to regulators and exchanges.
Data collation, analysis and periodic review to ensure ongoing compliance with all regulatory requirements.
Audit and Inspection Handling:
Manage all internal and external audits and inspections including data collation, data verification, data submission and observation responses for various audits and inspection of the broking and DP business.
Serve as the primary point of contact for auditors and inspection officials.
Prepare and present audit reports and compliance findings for review by senior management.
Management Information System (MIS) Tracking:
Maintain relevant data on an ongoing basis for preparation of MIS
Prepare and maintain MIS reports.
Analyze MIS data to support compliance and regulatory reporting.
Qualifications:
Bachelor’s degree in Finance, Business Administration, or a related field. Advanced degrees or certifications in compliance or regulatory affairs are a plus.
10+ years of proven experience in regulatory compliance, preferably within the financial sector
Strong analytical skills with the ability to interpret and act upon complex data.
Excellent communication skills, both written and verbal, with the ability to interact effectively with regulatory bodies, auditors.
Strong interpersonal and teamwork skills to enable working with various internal stakeholders
Proficiency in using compliance tracking systems and other relevant software tools and understanding of system requirements.
Strong organizational skills with the ability to manage multiple projects and deadlines.
Preferred Skills:
In-depth knowledge of SEBI regulations and other relevant financial regulations.
Experience with business requirement drafting and system implementation.
Proven ability to handle audits and inspections successfully.
Strong attention to detail and commitment to maintaining high standards of compliance.
Psst… tips on how you can beat the competition:
If you can showcase your abilities to:
· Be self-driven / quick starter
· Have an ownership mindset
· Aggressively drive and deliver results
A basic requirement but one that many forget: Make sure you go through our website, download our app and give us feedback!
By applying for this position, you acknowledge that you have reviewed our Prospective Employee Privacy Notice, which outlines how Upstox collects, uses, and protects your personal information ("PI").""I accept Upstox's Prospective Employee Privacy Notice."
Upstox is an Equal Opportunity Employer; all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran status, or other characteristics.
Top Skills
Compliance Tracking Systems
Upstox Mumbai, Maharashtra, IND Office
Mumbai, Maharashtra, India
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