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 — easy, 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 quick.
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