Specialist - Commodities Surveillance & AML

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 the Specialist of Surveillance and AML at Upstox located in Mumbai, your role involves overseeing the design, implementation, and monitoring of surveillance mechanisms to detect behaviors that may breach regulatory rules or internal policies. When suspicious activities are identified, you will collaborate with various teams to address and resolve the issues while upholding the firm's reputation and ensuring compliance with laws and regulations. Your responsibilities include analyzing trade surveillance alerts post-trade and escalating daily exception reports.

Technical Requirements:

Experience in Exchange & Trade regulatory framework
Understanding of trade products (intermediate/ expert knowledge)Understanding of trade life cycle (intermediate/ expert knowledge)
Understanding of market abuse and fraud practices in trade products
Experience of working on SMARTS or similar Trade surveillance system is an advantage.
Experience of undertaking trade alerts review, investigations and disposition
Experience in AML related operations including KYC / due diligence / screening / transaction monitoring is added preference

Other skills:

Should have analytical skill to identify exception and report to management on timely basis.
Should be good in communication and presentation.
Strong working knowledge with MS Excel, PPT, MS Word and Macros / Visual Basic
Be self-directed, with the ability to proactively identify and analyze problems
Have good organization skills with the ability to work towards and meet deadlines
The candidate must be detail-oriented, organized and assertive
Exchanges / Institutional experience desired

Knowledge Required:

Knowledge of Compliance laws, rules, regulations, risks and typologies
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
Excellent research and analytical skills in addition to a technical aptitude
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Proficient in MS Office applications (Excel, Word, PowerPoint)The candidate should be adaptable to change and willing to work in a fast-paced environment with a positive attitude
Advanced analytical skills
Demonstrated knowledge in area of focus

If you are a self-driven individual with an ownership mindset, capable of delivering results, and possess the required technical expertise and skills, we encourage you to apply for this exciting opportunity at Upstox APPLY NOW!