Associate – Compliance (CA Fresher) – Mumbai

HypTechie; Mumbai; On-site; INR 400,000 - 700,000; Full time

Job summary

Upstox is seeking an Associate – Compliance (CA Fresher) in Mumbai to join Internal Controls, planning and executing financial, regulatory, and operational reviews, and strengthening the control framework.

You will work with cross-functional teams, interact with auditors, and contribute to governance and risk management in India’s capital market ecosystem. This is an on-site role requiring up to 5 days/week.

Qualifications

• CA Fresher or up to 1 year in internal audit, risk or compliance.
• Solid grasp of legal and regulatory requirements.
• Strong analytical and problem-solving abilities.

Responsibilities

• Support risk management plan development and implementation.
• Plan and execute financial, regulatory, and operational reviews.
• Evaluate existing controls to mitigate risks.
• Conduct performance audits and investigations as needed.
• Collaborate with departments to audit operations efficiently.
• Coordinate audit activities with external auditors.
• Recommend policy and process improvements to boost efficiency.
• Take on related duties as assigned.

Skills

CA Fresher

Internal Audit

Risk Management

Compliance

Analytical Skills

Communication

MS Office

Power BI

Tableau

Education

Chartered Accountant (CA)

Tools

MS Office

Power BI

Tableau

Job description

Associate – Compliance (CA Fresher)

Location: Mumbai (On-site, 5 Days/Week)
Department: Legal & Compliance
Employment Type: Full-Time

About Upstox

At Upstox, we’re building the future of investing — simple, powerful, and for everyone. We are 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: Associate – Compliance

As part of the Internal Controls team, you will play a critical role in strengthening the organization’s 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 India’s capital market ecosystem.

Key Responsibilities

• Support in developing and implementing the organization’s 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 organization’s 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

• Qualified Chartered Accountant (CA Fresher or up to 1 year of experience) in Internal Audit, Risk Management, or Compliance.
• Comprehensive understanding of legal, regulatory, and compliance requirements.
• Strong analytical, problem-solving, and decision-making skills.
• Excellent written and verbal communication and interpersonal abilities.
• Advanced computer proficiency — MS Office (Word, Excel, PowerPoint), Power BI, and Tableau.

Why This Role Rocks

• Strengthen the internal control environment of a fintech platform trusted by millions.
• Design and execute risk management, audit, and compliance frameworks ensuring operational resilience.
• Gain high ownership and visibility, directly influencing governance and control effectiveness across the organization.
• Collaborate with cross-functional business, finance, and audit teams to uphold transparency and accountability.
• Contribute to building a trust-based, compliant, and integrity-driven organization shaping how India invests.