Sr. Manager - Compliance

Department – Legal & Compliance /
Full-time /
The Upstox Story:

Upstox is one of India's leading Fin-Tech companies with a mission to simplify trading & investing to make it easily accessible to the masses. We aim to enable everyone, from new investors to seasoned traders, to invest across multiple categories with our state-of-the-art trade & investment platform and commission-free pricing. We offer numerous asset categories to invest in, like Stocks, IPOs, Mutual Funds, and more.  

By focusing on our customers’ needs and equipping them with personalized yet powerful tools, we witnessed a steep growth of 800% in our customer base from 25 Thousand in 2017 to 2 Lakh in 2019. With 1500% growth in 2020, currently, over 10 million customers trust us with their investment decisions, thus setting us on the course to become an industry-leader in the country. 

Our mission is simple - to break down the complexities of investing and make it more effortless, accessible, affordable, and easy for the masses to adopt. This key principle when infused with intuitive design and leading-edge technology will help us empower every Indian to take control of their investments. 

RKSV Securities was founded by Ravi Kumar and Shrinivas Viswanath in 2009 and was soon graced by Kavitha Subramanian as the third co-founder in 2016. Backed by Ratan Tata, Upstox had raised $4 million in Series A funding in early 2016 that was led by Kalaari Capital. The Series B funding round scaled multifold and witnessed an investment of $25 million by US-based investment firm - Tiger Global Management in September 2019.
We have a team of highly skilled technology and finance professionals, and are currently looking for highly motivated field experts to be part of our high-energy team.

Position: Manager/ Sr. Manager - Compliance

About Team:
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance assess the firms compliance, regulatory and reputational risk, monitors for compliance with new or amended laws , rules , regulations and guidelines, designs and implements controls, policies , procedure, conducts surveillance , monitors for compliance risks and breaches and leads the firms response to regulatory examination, audits and inquiries.

We are looking for who possess sound judgment, adaptable to changing regulatory landscape . You will be part of a team with members from a wide range of academic and professional background.

Requirement : 

- Qualified CA with 4-5 years of experience in similar Industry (Broking Compliance)
- Concurrent CDSL audit report - guiding audits and submission of report
- Internal audit report - Providing data, guiding audits and submission of report
- Experience in providing MIS to management and expert in coordination with multiple departments to understand the process gap and provide corrective action
- Action Taken reports of all audit observations post audit.
- Should be able to Handle any  inspections from SEBI, CDSL & Exchanges & should have bird’s eye in data that is being provided w r t accuracy.

Psst… tips on how you can beat the competition: 
If you can showcase your abilities to:
·  Be self-driven / quick starter
·  Have an ownership mindset
·  Aggressively drive and deliver results 

 A basic requirement but one that many forget: Make sure you go through our websitedownload our app and give us feedback! 
"Upstox is an Equal Opportunity Employer; all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran status, or other characteristics"