Specialist-Compliance
Upstox · Mumbai · onsite · Posted 38d ago
Undisclosed3–10 yrsfulltimeSourced from
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About this role
Job Description
Title: Specialist-Compliance
Location: Mumbai
Work arrangement: 5 days in the office
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.
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.
The Role: Specialist-Compliance
We're looking for a Specialist-Compliance to own regulatory compliance across our broking and DP business. You'll be the bridge between evolving SEBI, exchange, and depository regulations and our internal processes tracking circulars, driving implementation, and ensuring every report and record stands up to scrutiny. This role sits at the heart of how Upstox stays audit-ready and regulator-trusted while moving fast.
We're looking for a Specialist-Compliance to own regulatory compliance across our broking and DP business. You'll be the bridge between evolving SEBI, exchange, and depository regulations and our internal processes tracking circulars, driving implementation, and ensuring every report and record stands up to scrutiny. This role sits at the heart of how Upstox stays audit-ready and regulator-trusted while moving fast.
What You'll Own
- Ensure end-to-end compliance with rules, regulations, byelaws, and circulars issued by exchanges, depositories, SEBI, and other regulatory bodies
- Track, interpret, and drive implementation of regulatory circulars, including drafting business requirements and overseeing system/process changes
- Maintain SOPs, policies, and trackers, and handle timely preparation and submission of reports to regulatory authorities
- Manage internal and external audits and inspections end-to-end, acting as the primary point of contact for auditors and inspection officials
- Own MIS tracking and reporting, analyzing data to support ongoing compliance and regulatory reporting
- Liaise with exchanges and depositories on routine regulatory matters
What we're looking for
- Bachelor's degree in Finance, Business Administration, or related field; advanced degrees/certifications in compliance or regulatory affairs are a plus
- 4-7 years of experience in regulatory compliance, preferably within the financial sector
- Working knowledge of SEBI regulations and other relevant financial regulations
- Strong analytical skills with the ability to interpret and act on complex data
- Strong interpersonal and teamwork skills to work with internal stakeholders
- Good communication skills, exposure to audits/inspections, and familiarity with compliance tracking tools are a plus
Why This Role Rocks
You'll be the go-to compliance expert shaping how Upstox navigates a fast-evolving regulatory landscape with direct visibility into audits, regulators, and senior leadership decisions.
You'll be the go-to compliance expert shaping how Upstox navigates a fast-evolving regulatory landscape with direct visibility into audits, regulators, and senior leadership decisions.
By applying for this position, you acknowledge that you have reviewed our , which outlines how Upstox collects, uses, and protects your Personal Information ("PI"). I accept Upstox's Prospective Employee Privacy Notice.
Disclaimer: This job posting and Location has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.
Sourced from naukri
Skills
analytical thinkingRegulatory AffairsBusiness RequirementsauditsFintechfintech platformsRegulatory ReportingRegulatory ComplianceCommunication SkillsAdministrationBrokingSEBIcomplianceSebi Regulationsfinance
About Upstox
Upstox
FinTech
550
employees
2009
17 years old
Mumbai,Maharashtra
India
About
We're one of India’s fastest-growing fintech platforms, backed by the best, including Mr. Ratan Tata and Tiger Global, and on a mission to make wealth creation accessible to every Indian.
Industries
Internet
Employee ratings
208 reviews
3.4/ 5
Culture
3.3
Career growth
2.9
Work-life
3.3
Employees rate it well for
Senior Management23Work Life Balance20Salary18Work Culture15Career Growth11
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