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Associate - Compliance (CA Fresher)

Associate - Compliance (CA Fresher)

Upstox

1 - 6 years

2 - 5 Lacs

mumbai

Posted:1 month ago| Platform:

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Skills Required

auditor manager internal audit operational excellence management audit compliance analytical capital market risk management operations recruitment

Work Mode

Work from Office

Job Type

Full Time

Job Description

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.

What Youll Own:

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

Who Will Rock:

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.

Why This Role Rocks:

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 Upstoxs Prospective Employee Privacy Notice.

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.

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Associate - Compliance (CA Fresher)