Compliance Officer

The Compliance Officer at Upstox will ensure full adherence to regulatory, legal, and internal compliance requirements for the SBU operating in GIFT City, under IFSCA guidelines. This senior role involves designing, implementing, and monitoring compliance programs, interpreting regulatory updates, liaising with regulatory bodies, and overseeing risk management and governance. The officer will also be responsible for record-keeping, code of conduct adherence, financial statement review from a compliance perspective, and leading training programs, reporting directly to the Board of Directors.

Must Have

• Oversee legal and compliance framework, ensure adherence to regulatory requirements applicable to SBU in GIFT City under IFSCA.
• Establish, update, and monitor internal policies, procedures, and controls.
• Review and interpret regulatory updates, ensure timely implementation.
• Liaise with regulatory bodies, auditors, and internal teams.
• Monitor risk exposures and ensure strong governance mechanisms.
• Ensure accurate and timely record-keeping as per regulatory norms.
• Oversee implementation and adherence to the organisation’s Code of Conduct.
• Review financial statements from a compliance and regulatory perspective.
• Prepare compliance reports and present findings directly to the Board.
• Lead compliance training and awareness programs.
• Professional qualification or PG degree/diploma in finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, actuarial science; or CFA/FRM; or other IFSCA recognized qualifications.
• Graduation + 10 years of financial services experience is acceptable.
• LLB degree holders are eligible irrespective of other qualifications.
• Minimum 2 years’ experience in the financial services sector or 2 years in a compliance role.

Good to Have

• Be self-driven / quick starter
• Have an ownership mindset
• Aggressively drive and deliver results

Position: Compliance Officer

Reporting To: Board of Directors

Location: Gift City

Department: Legal & Compliance

About Upstox:

At Upstox, we’re building the future of investing — simple, 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 fast — we’re moving with purpose. If you thrive in a high-energy, high-impact environment, you're in the right place.

Role Overview:

The Compliance Officer (CO) will be responsible for overseeing and ensuring full adherence to regulatory, legal, and internal compliance requirements. The role demands a senior professional with strong understanding of financial services, regulatory frameworks, risk management, and governance practices. The CO will work closely with the Board to design, implement, and monitor compliance programs aligned with IFSCA guidelines.

Key Responsibilities

• Oversee the organisation’s Legal and compliance framework and ensure adherence to all regulatory requirements applicable to the SBU operating in GIFT City, under the IFSCA and other regulatory guidelines.
• Establish, update, and monitor internal policies, procedures, and controls.
• Review and interpret regulatory updates and ensure timely implementation across the business.
• Liaise with regulatory bodies, auditors, and internal teams regarding compliance matters.
• Monitor risk exposures and ensure strong governance mechanisms.
• Ensure accurate and timely record-keeping as per regulatory norms.
• Oversee the implementation and adherence to the organisation’s Code of Conduct.
• Review financial statements from a compliance and regulatory perspective.
• Prepare compliance reports and present findings directly to the Board.
• Lead compliance training and awareness programs across the organisation.

Educational Qualifications

• Professional qualification; or PG degree/diploma in relevant fields (finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, actuarial science); or
• CFA/FRM; or Other qualifications recognised by IFSCA.

Additional Provisions:

• Graduation + 10 years of financial services experience is acceptable.
• LLB degree holders are eligible irrespective of other qualifications.

Experience Requirement

• Minimum 2 years’ experience in the financial services sector; or
• Experience from any field is acceptable if the candidate has at least 2 years of experience in a compliance role.

Competencies & Skills:

• Strong grasp of legal and regulatory compliance frameworks.
• Ability to understand and interpret financial statements.
• Knowledge of risk management practices and reporting.
• Familiarity with record-keeping and compliance documentation standards.
• Sound judgment, ethics, and integrity in decision-making.
• Excellent communication, documentation, and stakeholder management skills.

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 NOW

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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.

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