We are a fast-growing investment management platform operating under SEBI-regulated Portfolio Management Services (PMS) and Alternative Investment Fund (AIF) structures. We are seeking an experienced operations and compliance professional to lead and scale our middle-office, execution, fund operations, and regulatory compliance functions.
This role will work closely with the Fund Managers and Partners and will be responsible for establishing institutional-grade operational processes, regulatory frameworks, and execution controls as the business continues to grow.
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Oversee all PMS and AIF operational activities across the investment lifecycle.
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Manage investor onboarding, account opening, KYC, AML, FATCA, CRS, and related documentation processes.
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Supervise NAV verification, portfolio reconciliations, expense allocations, corporate actions, and fund accounting processes.
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Coordinate with custodians, brokers, fund administrators, depositories, auditors, and legal advisors.
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Ensure accurate maintenance of investor records, transaction records, and operational documentation.
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Monitor fund cash flows, subscriptions, redemptions, capital calls, and distributions.
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Oversee execution of equity, derivatives, debt, ETF, and other permissible securities transactions.
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Ensure timely order placement, trade allocation, settlement monitoring, and exception management.
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Establish and maintain robust trade controls, maker-checker frameworks, and best execution practices.
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Liaise with brokers and custodians to resolve execution and settlement-related issues.
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Monitor portfolio-level exposures, leverage, concentration limits, and regulatory restrictions.
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Lead compliance functions relating to SEBI PMS Regulations, AIF Regulations, PMLA requirements, and applicable exchange regulations.
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Ensure timely submission of all regulatory filings, disclosures, and reporting requirements.
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Develop and maintain compliance monitoring frameworks and internal control systems.
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Coordinate regulatory inspections, internal audits, compliance reviews, and statutory audits.
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Maintain all regulatory registers, compliance records, and policy documentation.
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Monitor implementation of compliance policies and escalate breaches to senior management.
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Develop and implement scalable operational processes and SOPs.
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Drive automation initiatives across operations, reporting, compliance monitoring, and reconciliations.
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Identify operational risks and implement appropriate risk mitigation controls.
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Lead technology implementation projects relating to OMS, PMS, fund accounting, and compliance systems.
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Build, mentor, and manage the operations and compliance team.
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Establish KPIs, operational dashboards, and service-level standards.
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Foster a culture of accountability, accuracy, and continuous improvement.
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Collaborate closely with investment, investor relations, finance, and technology teams.
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CA, CFA, MBA (Finance), CS, or equivalent professional qualification.
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NISM certifications and other capital market certifications will be an added advantage.
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8–15 years of relevant experience in PMS, AIF, Asset Management, Mutual Funds, Wealth Management, Custody, Fund Administration, or Capital Markets Operations.
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Demonstrated experience managing fund operations, trade execution, and regulatory compliance functions.
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Prior experience in a leadership role within an investment management platform is strongly preferred.
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Strong working knowledge of PMS and AIF regulatory frameworks.
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Fund accounting and NAV processes.
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Equity, derivatives, debt, and capital market operations.
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Custody and settlement mechanisms.
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SEBI regulations applicable to PMS and AIF entities.
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Regulatory reporting and compliance monitoring.
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Advanced Excel and operational reporting systems.
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Experience with OMS/PMS software platforms and compliance monitoring tools.
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Strong leadership and team management capabilities.
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Exceptional attention to detail and operational discipline.
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High level of integrity and regulatory awareness.
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Ability to work in a dynamic entrepreneurial environment.
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Strong communication and stakeholder management skills.
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Problem-solving mindset with a focus on scalability and process excellence.
