Job Title: Associate Director - Compliance
Experience: 12+ years
Location: Mumbai
Work Arrangement: 5 days in the office
About Upstox
At Upstox, we're building the future of investing—straightforward, 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.
About The Role
Own end-to-end regulatory compliance for the broking business, translating SEBI/Exchange/Depository regulations into robust internal processes, and act as a key advisor to senior management on regulatory risk. Lead the compliance team's daily operations while driving process, audit, and reporting excellence.
What you'll own:
Own overall regulatory compliance for the broking and DP business under SEBI (Stock Brokers & DP Regulations), PMLA/AML-KYC, SEBI PIT Regulations, Cyber Security & Resilience Framework,
Business Continuity requirements, and other applicable exchange/depository guidelines; interpret ambiguous or new regulations and recommend the organizational stance to senior management, Compliance Committee, and Board.
Design and maintain the compliance risk-assessment framework and risk-based monitoring calendar; proactively escalate material regulatory risks, gaps, or breaches with recommended remediation.
Lead, mentor, and build capability within the core compliance team, allocating work and supporting career development; serve as the senior point of contact for Exchanges, Depositories, and SEBI on escalations, inspections, and sensitive correspondence.
Partner with Business, Risk, Legal, IT/InfoSec, and Operations to embed compliance-by-design into current products, processes, and system changes.
Oversee tracking and interpretation of regulatory circulars, drive stakeholder discussions to assess impact, guide business requi
📌 Associate Director (Mumbai)
🏢 Upstox
📍 Mumbai