Senior Associate Compliance At Upstox | 2 – 4 years

Upstox Hiring Senior Associate Compliance

Upstox, a first-rate Fin-Tech employer, is searching for a Senior Associate to enroll in our Compliance institution. The characteristic involves making sure of regulatory compliance, dealing with audits, acting on records assessment, and preserving MIS reports. Candidates should have a robust record in finance, splendid communication abilties, and enjoy coping with regulatory affairs. We price self-pushed people with an ownership mindset who can adapt to a converting regulatory landscape. Upstox is dedicated to equal employment opportunities for all, fostering numerous and inclusive artwork surroundings.

Role: Senior Associate Compliance

Company: Upstox

Experience: 2 – 4 years

Salary: Not Disclosed

Location: Mumbai

About Company

Upstox is a leading Fin-Tech employer in India with an assignment to simplify buying selling and investing, making it available to the masses. Our reason is to empower everybody, from beginner investors to skilled customers, to invest in the course of with our advanced trade and investment platform and charge-loose pricing. We provide numerous asset categories, such as shares, IPOs, mutual budgets, and extra.

By focusing on our client’s desires and providing them with a customized yet powerful system, we have been given exquisite growth. Our client base grew by 800% from 25,000 in 2017 to two hundred,000 in 2019. In 2020, we saw a 1500% increase, and now over 10 million customers believe us with their investment selections, putting us on the course to turning into an enterprise leader in India.

Job Description

Our undertaking is straightforward: to interrupt the complexities of investing, making it greater convenient, on hand, less expensive, and clean for the loads. By combining an intuitive format with the contemporary era, we propose to empower every Indian to take control of their investments.

We have a group of rather expert generation and finance experts and are presently searching for motivated location experts to join our high-electricity group.

Position: Associate Manager/Manager – Compliance

About Team:

Our compliance department prevents, detects, and mitigates compliance, regulatory, and reputational dangers throughout the agency, strengthening our way of life of compliance. This crew assesses compliance dangers, video display units’ adherence to prison pointers, rules, and pointers, designs and implements controls and recommendations, conducts surveillance and manages regulatory examinations, audits, and inquiries.

Key Responsibilities:

Regulatory Compliance:

• Ensure compliance with all guidelines, recommendations, byelaws, circulars, and tips issued via exchanges, depositories, SEBI, and different regulatory bodies.
• Manage operational strategies to ensure regulatory compliance.
• Maintain method documents (SOPs), recommendations, and trackers for smooth records extraction and updates.
• Prepare, report, and position up vital files to applicable government because they need to be well timed.
• Liaise with exchanges and depositories for routine matters.

Circular Tracking and Implementation:

• Track and interpret circulars from regulatory bodies and talk with stakeholders.
• Understand gadget requirements and draft business enterprise requirements, if applicable.
• Implement modifications in strategies/files as in step with regulatory circulars/suggestions.
• Oversee the prevent-to-prevent implementation of important adjustments.

Data Analysis and Compliance Assurance:

• Perform facts assessment for correct reporting to regulators and exchanges.
• Conduct periodic records opinions to ensure ongoing regulatory compliance.

Audit and Inspection Handling:

• Manage inner and external audits, collectively with information collation, verification, submission, and response to observations.
• Serve as the primary contact for auditors and inspection officers.
• Prepare and present audit reviews and compliance findings to senior management.

Management Information System (MIS) Tracking:

• Maintain relevant facts for MIS instruction.
• Prepare and hold MIS evaluations.
• Analyze MIS records to assist compliance and regulatory reporting.

Qualifications:

• Bachelor’s diploma in Finance, Business Administration, or an associated area (superior stages or certifications in compliance/regulatory affairs are a plus).
• Proven experience in regulatory compliance inside the financial zone.
• Strong analytical talents to interpret and act upon complicated data.
• Excellent communication capabilities, each written and verbal.
• Strong interpersonal and teamwork talents.
• Proficiency in compliance tracking structures and applicable software program gear.
• Strong organizational competencies to manipulate a couple of initiatives and cut-off dates.

Preferred Skills:

• In-depth understanding of SEBI regulations and distinctive applicable financial pointers.
• Experience with business company requirement drafting and machine implementation.
• Proven potential to cope with audits and inspections efficiently.
• Strong interest in detail and dedication to immoderate compliance standards.
• Senior Associate at Upstox (one hundred terms)

Benefits at Upstox

Comprehensive Health Benefits: Upstox provides strong medical insurance plans, together with scientific, dental, imaginative, and prescient coverage, ensuring employees and their households are well-covered.

Flexible Work Arrangements: Upstox offers flexible operating hours and the opportunity to a ways off artwork, selling a wholesome artwork-existence balance.

Professional Development Opportunities: Upstox enables continuous studying and career boom via training programs, workshops, and sponsorship for relevant certifications and courses.

Performance Bonuses and Incentives: Upstox rewards personnel for their tough work and achievements with overall performance-based bonuses and incentives, encouraging excellence and self-control.

Employee Wellness Programs: Upstox prioritizes employee well-being with fitness applications, collectively with health memberships, highbrow health aid, and health stressful situations, fostering a holistic approach to fitness and productiveness.

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