Associate Manager

Job Description

About us:
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, Digital Gold, 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 3 million customers trust us with their investment decisions, thus setting us on the course to become an industry leader in the country.
The company was founded in 2009 by Ravi Kumar and Shrinivas Viswanath, and in2016 Kavitha Subramanian joined as the third co-founder. Backed by Ratan Tata, weraised $4 million in Series A funding (2016) led by Kalaari Capital. In 2019, US-based investment firm Tiger Global Management invested $25 million in a Series B funding round. Visit our Linkedin page to learn more about us.

Do visit ourto know more about us.

Position Overview
We are seeking a proactive and experienced Associate Manager - Legal to join our team. The candidate will manage legal matters at the stockbroker level while overseeing group-wide legal activities. This role is pivotal in supporting the group's strategic expansion into new domains within the broader financial services sector.

Key Responsibilities
1. Contract Management
- Manage the entire contract lifecycle in timely manner, including drafting, reviewing, and negotiating contracts to ensure alignment with legal standards, organizational objectives, and risk mitigation practices. Drive the digitization of contracts and SOPs to streamline contract processes across initiation, approval, execution, storage, and renewals. Collaborate with internal stakeholders to meet contractual obligations, address disputes, and ensure
compliance with regulatory requirements (e.g., SEBI, IRDAI, RBI guidelines, etc.)
- Monitor and mitigate contract-related risks, provide performance reports, and conduct training sessions for internal teams to ensure awareness and compliance. Continuously recommend process improvements and stay updated on regulatory changes and industry best practices to enhance contract management operations

2. Legal Advisory
- Develop and oversee a comprehensive compliance framework in line with financial regulations
- Draft / negotiate contracts, ensuring alignment with regulatory /industry standards

3. Policy Implementation and Development
- Establish compliance policies, SOPs, and procedures addressing regulatory requirements, AML/ KYC requirements, data privacy, etc
- Manage ongoing audits, compliance checks, and regulatory updates
- Regularly update policies to reflect regulatory changes, ensuring smooth integration into daily operations

4. Cross-Functional Collaboration and Training
- Work with product, tech, and operations teams to ensure compliance integration across products and services
- Develop and deliver compliance training programs to increase team awareness of regulations and policies
- Advise internal teams on compliance considerations for new products and initiatives

Key Qualifications
Education & Experience:
- Bachelor's degree in law (LLB) with preferred ICSI membership additional certifications in regulatory compliance, AML/KYC, or data protection are advantageous.
- 6-10 years in legal role, with 3-5 years in regulatory liaison, ideally within BFSI or litigation.
- Background in dispute resolution and interaction with police officials is a plus.
Skills:
- Knowledge in BFSI regulations, contract negotiation, compliance management, and regulatory filings.
- Strong policy and contract drafting abilities, audit, risk management, and early-stage compliance experience.
- Excellent communication, organizational, and leadership skills with a proactive,
entrepreneurial approach.
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

If you fit the above description, we would love to connect with you APPLY NOWA basic requirement but one that many forget: Make sure you go through , and give us feedback

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