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Senior Manager - Compliance

Upstox· Legal & Compliance
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Mumbaifull-timePosted 10mo ago

About the role

Lead compliance operations for Upstox, ensuring adherence to regulatory requirements, managing audits and inspections, and overseeing circular tracking and implementation.

Responsibilities

  • Responsible for regulatory compliance - Ensure compliance with all rules, regulations, byelaws, circulars and other guidelines, issued from time to time, by the exchanges, depositories, SEBI, and other regulatory bodies.
  • Manage all operational processes as per regulatory framework to ensure compliance to the regulatory guidelines.
  • Maintenance of process documents (SOPs), Policies, trackers for ensuring adequate records are in place for easy data extraction, and carryout relevant updations in the same from time to time.
  • Handle preparation, reporting and submission of necessary reports and documents to the relevant authorities in an accurate and timely manner.
  • Liaising with Exchanges, Depositories for routine matters.
  • Track and interpret circulars from all concerned regulatory bodies and conduct discussions with all stakeholders.
  • Understand system requirements and draft business requirements, if applicable.
  • Carry out the relevant changes in the processes / documents in line with the regulatory circulars / guidelines.
  • Oversee the end to end implementation of necessary changes.
  • Perform data analysis to ensure accurate reporting to regulators and exchanges.
  • Data collation, analysis and periodic review to ensure ongoing compliance with all regulatory requirements.
  • Manage all internal and external audits and inspections including data collation, data verification, data submission and observation responses for various audits and inspection of the broking and DP business.
  • Serve as the primary point of contact for auditors and inspection officials.
  • Prepare and present audit reports and compliance findings for review by senior management.
  • Maintain relevant data on an ongoing basis for preparation of MIS.
  • Prepare and maintain MIS reports.
  • Analyze MIS data to support compliance and regulatory reporting.

Qualifications

  • Bachelor’s degree in Finance, Business Administration, or a related field.
  • Advanced degrees or certifications in compliance or regulatory affairs are a plus.
  • 10+ years of proven experience in regulatory compliance, preferably within the financial sector.

Skills

Required:Regulatory ComplianceData AnalysisCommunication Skills
Nice to have:System Implementation
Last updated Jan 1, 2026. Interested? Apply on the company site.

About Upstox

Trade & Invest: Online Share Market Trading App in India | Upstox

Trade & Invest in stocks, SIPs, IPOs, Mutual funds, F & O and more on NSE & BSE. Join 1.3 Cr+ for a hassle-free trading experience on Upstox!

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