Senior Manager - Compliance
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...