The Role
The Associate Manager will strengthen internal controls by planning financial audits, assessing risks, collaborating with teams, and recommending policy improvements.
Summary Generated by Built In
Company: Upstox
Location: Mumbai
Work arrangement: 5 days in the office
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.
The Role:
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 You'll 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:
5–8 years of experience in internal audit, risk management, or compliance.
Relevant years of post-qualification working experience in broking industry
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 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.
Top Skills
MS Office
Power BI
Tableau
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The Company
What We Do
Upstox is an online trading app for Demat Account, Share Market, MF, IPO with 1cr+ customers. Backed by Ratan Tata and venture capitalists such as Tiger Global, Upstox offers a best-in-class technology-enabled trading platform. Headquartered in Mumbai, Upstox holds memberships with the NSE, BSE, MCX, and MCX-SX. For more details, visit - https://upstox.com/
