Associate Manager Compliance (Internal Controls)

Company : Upstox

Location : Mumbai

Work arrangement : 5 days in the office

About Upstox :

At Upstox were building the future of investing simple powerful and for everyone. Were one of Indias 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. Were not just moving fast were moving with purpose. If you thrive in a high-energy high-impact environment youre in the right place.

The Role :

As part of the Internal Controls team you will play a critical role in strengthening the organizations risk and compliance framework. You will be responsible for planning and executing financial regulatory and operational reviews assessing the effectiveness of existing control systems and driving improvements in policies and procedures. Partnering with cross-functional teams and external auditors you will ensure transparency accountability and efficiency across the business. This role offers high ownership visibility and the opportunity to directly impact trust governance and operational excellence in Indias capital market ecosystem.

What Youll Own :

Support in developing and implementing the organizations Risk Management Plan

Plan and execute financial regulatory compliance and operational reviews / audits

Periodically assess and evaluate the effectiveness of existing control systems to mitigate risks and strengthen the organizations control culture

Conduct performance audits and special investigations as required or directed by appropriate authorities

Collaborate with departments across the organization to ensure efficient and effective auditing of operations

Coordinate and facilitate audit activities with external auditors

Recommend improvements in policies processes and procedures to enhance organizational efficiency and support the objectives of the Audit Unit

Perform any other related duties as assigned from time to time

Who Will Rock :

58 years of experience in internal audit risk management or compliance.

Relevant years of post-qualification working experience in broking industry

Comprehensive knowledge of legal and regulatory requirements

Results-oriented with strong analytical problem-solving and decision-making skills

Excellent communication (written and verbal) and interpersonal skills

Advanced computer literacy skills - MS Office (Word Excel PowerPoint) PowerBI Tableau etc.

Why This Role Rocks :

Youll safeguard scale strengthening the internal control environment of a fintech platform trusted by millions of investors.

Youll embrace rigor designing and executing risk management audit reviews and compliance frameworks that ensure operational resilience.

Youll have high ownership and visibility directly influencing the effectiveness of controls policies and governance across the organization.

Youll collaborate with smart driven teams working closely with business finance and external auditors to uphold transparency and accountability.

Every control you strengthen will shape the way India invests building trust minimizing risk and reinforcing a culture of integrity.

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 Upstoxs 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.

We may use artificial intelligence (AI) tools to support parts of the hiring process such as reviewing applications analyzing resumes or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed please contact us.

Required Experience :

Manager

Key Skills

Abinitio,Apprentice,Dermatology,Cost Estimation,Data Networking,Liaison

Employment Type : Full-Time

Experience : years

Vacancy : 1