Associate Manager – Compliance (Internal Controls)
Location: Mumbai
Employment Type: Full-Time, On-site (5 days/week)
Company: Upstox
About Upstox
At Upstox, we’re building the future of investing — simple, powerful, and accessible for everyone. As one of India’s fastest-growing fintech platforms, we empower millions of investors to take control of their wealth. Backed by Ratan Tata and Tiger Global, we operate at the intersection of innovation, trust, and scale, enabling a seamless and secure investment experience for our users.
Role Overview
We are seeking an Associate Manager – Compliance (Internal Controls) to join our Internal Controls team. You will play a critical role in strengthening the organization’s risk and compliance framework, driving improvements in policies and procedures, and ensuring operational resilience. This role offers high ownership, visibility, and the opportunity to directly impact governance, trust, and internal control excellence in India’s capital market ecosystem.
Key Responsibilities
- Develop and support the organization’s Risk Management Plan.
- Plan and execute financial, regulatory, compliance, and operational audits/reviews.
- Evaluate the effectiveness of existing control systems to mitigate risks and strengthen control culture.
- Conduct performance audits and special investigations as required.
- Collaborate with departments across the organization for efficient and effective auditing of operations.
- Coordinate and facilitate audit activities with external auditors.
- Recommend process, policy, and procedure improvements to enhance organizational efficiency.
- Perform other related duties as assigned to support audit and compliance objectives.
Who You Are
- Experience: 5–8 years in internal audit, risk management, or compliance, preferably in the broking/financial services industry.
- Strong knowledge of legal and regulatory requirements in financial services.
- Results-oriented with excellent analytical, problem-solving, and decision-making skills.
- Strong communication and interpersonal skills, with the ability to collaborate effectively.
- Advanced proficiency in MS Office, PowerBI, Tableau, and other reporting/analytics tools.
Why This Role Rocks
- Safeguard scale: Strengthen internal controls for a fintech platform trusted by millions of investors.
- Embrace rigor: Design and execute risk management, audit reviews, and compliance frameworks for operational resilience.
- High ownership: Influence the effectiveness of controls, policies, and governance across the organization.
- Collaborative impact: Work closely with business, finance, and external auditors to uphold transparency and accountability.
- Shape the future: Every control you strengthen builds trust, minimizes risk, and reinforces a culture of integrity.