Associate Manager Surveillance and AML
Associate Manager Surveillance and AML
Posted on :
28-09-2025
Employer Active
1 Vacancy
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Job Description
Company: Upstox
Location: Mumbai
Work arrangement: 5 days in the office
About us:
At Upstox were building the future of investing simple powerful and for everyone. Were one of Indias 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. Were not just moving fast were moving with purpose. If you thrive in a high-energy high-impact environment youre in the right place.
What Youll Own:
Conduct post-trade analysis of surveillance alerts and escalate exceptions in a timely manner.
Monitor and investigate behaviors that may indicate market abuse fraud or AML-related risks.
Collaborate with cross-functional teams (first and second line of defense) to resolve escalated matters.
Review investigate and disposition trade alerts using SMARTS or similar surveillance systems.
Support AML-related operations including KYC due diligence screening and transaction monitoring.
Prepare and present findings reports and recommendations to management and regulatory bodies as required.
Stay updated on regulatory developments compliance requirements and industry best practices.
Escalate manage and report control issues with transparency and ensure compliance with internal policies and applicable laws.
Who You Are
Technical Requirements
Strong knowledge of Exchange & Trade regulatory frameworks.
Intermediate to expert understanding of trade products and the trade life cycle.
Knowledge of market abuse practices and fraud typologies.
Hands-on experience with trade surveillance systems (e.g. SMARTS) preferred.
Prior experience in reviewing trade alerts investigations and case disposition.
Exposure to AML operations (KYC screening due diligence transaction monitoring) is desirable.
Skills & Competencies
Strong analytical and problem-solving skills with the ability to identify and escalate exceptions.
Excellent communication and presentation skills.
Proficiency in MS Office (Excel Word PowerPoint); knowledge of Macros / VBA is an advantage.
Highly organized with the ability to manage deadlines and multiple projects.
Detail-oriented assertive and adaptable to fast-paced environments.
Self-directed proactive and able to collaborate across all levels of the organization.
Prior institutional or exchange experience is desirable.
Why This Role Rocks:
Youll work at scale monitoring trading activities and surveillance alerts that safeguard a fintech platform trusted by millions of investors.
Youll embrace innovation leveraging analytics automation and AI-driven tools to detect anomalies strengthen compliance and mitigate risks.
Youll have high ownership and visibility directly influencing the integrity transparency and reputation of Indias capital markets.
Youll join a team of smart driven professionals who thrive on tackling complex regulatory challenges and ensuring the highest standards of compliance.
Every investigation you conduct will shape the way India trades protecting clients strengthening trust and ensuring markets remain fair and transparent.
By applying for this position you acknowledge that you have reviewed ourProspective Employee Privacy Notice which outlines how Upstox collects uses and protects your Personal Information (PI).
I accept Upstoxs 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.
Required Experience:
Manager
Employment Type
Full-Time
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