Associate - Compliance (CA Fresher)

Associate - Compliance (CA Fresher) Mumbai

Department: Legal & Compliance
Full-time
On-site

Company: Upstox
Location: Mumbai
Work arrangement: 5 days in the office

At Upstox, were building the future of investing simple, powerful, and for everyone. We're one of Indias 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 fast were moving with purpose. If you thrive in a high-energy, high-impact environment, you're in the right place.

As part of the Internal Controls team, you will play a critical role in strengthening the organizations risk and compliance framework. You will be responsible for planning and executing financial, regulatory, and operational reviews, assessing the effectiveness of existing control systems, and driving improvements in policies and procedures. Partnering with cross-functional teams and external auditors, you will ensure transparency, accountability, and efficiency across the business. This role offers high ownership, visibility, and the opportunity to directly impact trust, governance, and operational excellence in Indias capital market ecosystem.

• Support in developing and implementing the organizations Risk Management Plan
• Plan and execute financial, regulatory, compliance, and operational reviews/audits
• Periodically assess and evaluate the effectiveness of existing control systems to mitigate risks and strengthen the organizations control culture
• Conduct performance audits and special investigations as required or directed by appropriate authorities
• Collaborate with departments across the organization to ensure efficient and effective auditing of operations
• Coordinate and facilitate audit activities with external auditors
• Recommend improvements in policies, processes, and procedures to enhance organizational efficiency and support the objectives of the Audit Unit
• Perform any other related duties as assigned from time to time

• Qualified Chartered Accountant with 1 years of experience in Internal Audit, Risk Management, and Compliance
• Comprehensive knowledge of legal and regulatory requirements
• Results-oriented with strong analytical, problem-solving, and decision-making skills
• Excellent communication (written and verbal) and interpersonal skills
• Advanced computer literacy skills - MS Office (Word, Excel, PowerPoint), PowerBI, Tableau etc.

• Youll safeguard scale strengthening the internal control environment of a fintech platform trusted by millions of investors.
• Youll embrace rigor designing and executing risk management, audit reviews, and compliance frameworks that ensure operational resilience.
• Youll have high ownership and visibility directly influencing the effectiveness of controls, policies, and governance across the organization.
• Youll collaborate with smart, driven teams working closely with business, finance, and external auditors to uphold transparency and accountability.
• Every control you strengthen will shape the way India invests building trust, minimizing risk, and reinforcing a culture of integrity.

By applying for this position, you acknowledge that you have reviewed our Prospective Employee Privacy Notice, which outlines how Upstox collects, uses, and protects your Personal Information ("PI").

I accept Upstox's Prospective Employee Privacy Notice.

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.

We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.