Specialist-Compliance

Upstox; Mumbai; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Upstox is seeking a Specialist-Compliance to own regulatory compliance across our broking and DP business. You will bridge SEBI, exchanges, and depository regulations with internal processes, ensuring reports and records withstand scrutiny.

The role focuses on regulatory circulars, SOP maintenance, audits, and timely submissions, driving implementation and regulator-trusted operations in a fast-paced fintech environment.

Qualifications

• Bachelor's degree in Finance, Business Administration, or related field.
• 4-7 years of experience in regulatory compliance, preferably within the financial sector.
• Working knowledge of SEBI regulations and other financial regulations.
• Strong analytical skills to interpret and act on complex data.
• Strong interpersonal and teamwork skills to work with internal stakeholders.
• Good communication skills and familiarity with compliance tracking tools.

Responsibilities

• 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.

Skills

Regulatory compliance

SEBI regulations

Analytical skills

Interpersonal skills

Communication skills

Audits/inspections

Regulatory reporting

Compliance tracking tools

Education

Bachelor's degree in Finance/Business

Tools

Compliance tracking tools

Job description

Title: Specialist-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.

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.

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.