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Compliance Officer

Upstox· Legal & Compliance
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GIFT CityFull-timePosted 10mo ago

About the role

The Compliance Officer will oversee and ensure adherence to regulatory, legal, and internal compliance requirements in a financial services setting, working closely with the Board and regulatory bodies.

Responsibilities

  • Oversee the organisation’s Legal and compliance framework and ensure adherence to all regulatory requirements applicable to the SBU operating in GIFT City, under the IFSCA and other regulatory guidelines.
  • Establish, update, and monitor internal policies, procedures, and controls.
  • Review and interpret regulatory updates and ensure timely implementation across the business.
  • Liaise with regulatory bodies, auditors, and internal teams regarding compliance matters.
  • Monitor risk exposures and ensure strong governance mechanisms.
  • Ensure accurate and timely record-keeping as per regulatory norms.
  • Oversee the implementation and adherence to the organisation’s Code of Conduct.
  • Review financial statements from a compliance and regulatory perspective.
  • Prepare compliance reports and present findings directly to the Board.
  • Lead compliance training and awareness programs across the organisation.

Qualifications

  • Professional qualification; or PG degree/diploma in relevant fields (finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, actuarial science); or CFA/FRM; or Other qualifications recognised by IFSCA.
  • Graduation + 10 years of financial services experience is acceptable.
  • LLB degree holders are eligible irrespective of other qualifications.

Skills

Required:Legal and Regulatory ComplianceFinancial Statement AnalysisRisk ManagementStakeholder Management

Benefits

  • Not specified in the provided description.
Last updated Jan 1, 2026. Interested? Apply on the company site.

About Upstox

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