Upstox: Pioneering Indian Fintech Leader Recruiting an Exceptional Compliance Manager in Mumbai – Apply Now
About Upstox
At Upstox, there’s a mission to simplify trading and investing, making it accessible to the masses. The state-of-the-art trading and investment platform, along with commission-free pricing, enables everyone, from new investors to seasoned traders, to invest across various asset categories, including stocks, IPOs, mutual funds, and more. The customer base has grown significantly, with over 10 million customers trusting with their investment decisions.
The mission is clear: to demystify the complexities of investing, making it effortless, accessible, affordable, and easy for all Indians to embrace. With intuitive design and cutting-edge technology, the aim is to empower every Indian to take control of their investments.
Founded by Ravi Kumar and Shrinivas Viswanath in 2009, Upstox was joined by Kavitha Subramanian as the third co-founder in 2016. Backed by Ratan Tata, Upstox has seen substantial growth, securing $4 million in Series A funding in 2016, led by Kalaari Capital. The Series B funding round soared to $25 million with an investment from US-based firm Tiger Global Management in September 2019.
Job Title: Associate Manager/Manager – Compliance
Job Description :
The Compliance division is dedicated to preventing, detecting, and mitigating compliance, regulatory, and reputational risks across the firm. It plays a crucial role in strengthening the culture of compliance. Responsibilities include assessing compliance, regulatory, and reputational risks, monitoring compliance with new or amended laws, rules, regulations, and guidelines, designing and implementing controls, policies, procedures, conducting surveillance, and responding to regulatory examinations, audits, and inquiries.
Seeking individuals who demonstrate sound judgment and adaptability to the changing regulatory landscape. As a part of the team, you will collaborate with members from diverse academic and professional backgrounds.
Requirements:
- 5+ years of relevant experience in a similar industry (Broking Compliance).
Key Responsibilities:
- Conduct concurrent CDSL audit reports, guide audits, and submit reports.
- Prepare internal audit reports, provide data, guide audits, and submit reports.
- Generate AI-ML reports on a quarterly basis.
- Submit half-yearly reports, including System Audit, Cyber Security, Net worth, etc.
- Prepare action taken reports for all audit observations post-audit.
- Handle inspections from SEBI, CDSL, and Exchanges.
- Manage segregation reporting for NSE and MCX.
- Disseminate and implement circulars issued by regulators.
- Provide data to auditors and various agencies.
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How to Stand Out:
If you can demonstrate the following:
- Self-driven and quick starter.
- Ownership mindset.
- Aggressive drive to deliver results.
Location : Mumbai
A team of highly skilled technology and finance professionals at Upstox is now looking for motivated field experts to join the dynamic team.
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