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 quick — 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 complian

📌 Specialist-Compliance (Mumbai)
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📍 Mumbai