Associate - Compliance (CA Fresher)

Company: Upstox

Location: Mumbai

Work arrangement: 5 days in the office

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.

As part of the Internal Controls team, you will play a critical role in strengthening the organization’s 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 India’s capital market ecosystem.

Support in developing and implementing the organization’s 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 organization’s 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. 

You’ll safeguard scale — strengthening the internal control environment of a fintech platform trusted by millions of investors.

You’ll embrace rigor — designing and executing risk management, audit reviews, and compliance frameworks that ensure operational resilience.

You’ll have high ownership and visibility — directly influencing the effectiveness of controls, policies, and governance across the organization.

You’ll 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.