Mumbai Maharashtra Mutual funds operations Jobs – 53 Open Jobs Today

Compliance and Operations Head
FINNOVATE —Mumbai, Maharashtra
- ₹12,00,000 - ₹15,00,000 a year
- Full-time
- Microsoft Excel
- Finance
- Analysis skills
- Health insurance
- Paid time off
Quick apply
8d
Investment Operations Analyst
Barclays —Mumbai, Maharashtra
- Microsoft Excel
- Master's degree
- Bachelor's degree
1d
Back Office Executive (Mutual Fund Background)
Gupta Traders —Fort, Mumbai, Maharashtra
- ₹45,000 - ₹50,000 a month
- Full-time
- Bachelor's degree
- In-person
Quick apply
10d
Wealth Management Intern
FirstCapital Financial Group —Andheri East, Mumbai, Maharashtra
- ₹8,000 - ₹10,000 a month
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Quick apply
11d
Wealth Relationship Manager
Shah Investors Home Ltd —Borivali, Mumbai, Maharashtra
- ₹5,00,000 - ₹8,00,000 a year
- Call employer
- Bachelor's degree
- In-person
- Communication skills
Quick apply
10d
Finance/Investment Analyst-Intern
Kodo Technologies —Mumbai, Maharashtra
- Master's degree
- SQL
- Machine learning
14d
back office job
Convobox —Mumbai, Maharashtra
- ₹20,000 - ₹40,000 a month
- Full-time
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
Quick apply
Relationship Manager - Wealth Management
Pratham Services Fincorp LLP —Mulund, Mumbai, Maharashtra
- ₹20,000 - ₹45,000 a month
- Full-time
- Microsoft Office
- Business development
- Bachelor's degree
- Health insurance
- Paid time off
Quick apply
3d
Assistant Institutional Equity Dealer
MSS Securities Pvt Ltd —Fort, Mumbai, Maharashtra
- ₹4,00,000 - ₹5,00,000 a year
- Full-time
- Microsoft Excel
- Bachelor's degree
- Financial services
- Health insurance
- Life insurance
Quick apply
Wealth Manager – Family Office
GSM People Consulting —Kurla, Mumbai, Maharashtra
- ₹10,00,000.00 - ₹12,87,712.88 a year
- Full-time
- Bachelor's degree
- In-person
- Communication skills
Quick apply
8d
AVP - Investment Operations
HSBC Global Services Limited —Mumbai, Maharashtra
- Full-time
- English
- Master's degree
- Analysis skills
4d
Equity Dealer
Promore —Kandivali East, Mumbai, Maharashtra
- ₹20,000 - ₹40,000 a month
- Full-time
- Bachelor's degree
- Financial services
- In-person
Quick apply
Back Office Executive – Finance & Insurance (Fresher Program)
Monish Shah Financial Planning Services —Mumbai, Maharashtra
- ₹15,000 - ₹18,000 a month
- Full-time
- Microsoft Excel
- Customer service
- English
- Paid time off
- Paid sick time
Quick apply
Internal Audit Executive (AIF/PMS/Wealth Management)
JHS Associates LLP —Mumbai, Maharashtra
- ₹25,000 - ₹30,000 a month
- Full-time
- Microsoft Excel
- Microsoft Office
- Master's degree
Quick apply
Associate, Global Treasury Operations
Ares Management —Mumbai, Maharashtra
- Full-time
- Research
- SQL
- Accounting
Executive / Senior Executive / Assistant Manager / Deputy Manager - Operations
Quantum Mutual Fund —Churchgate, Mumbai, Maharashtra
- Email
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
Senior Associate, Investment Operations (Wires)
Ares Management —Mumbai, Maharashtra
- Full-time
- Research
- Finance
- Master's degree
4d
Fund Servicing Associate
JPMorganChase —Mumbai, Maharashtra
- Full-time
- Finance
- Master's degree
- Analysis skills
14d
Fund Services.FR Accountant
Citco —Mumbai, Maharashtra
- Full-time
- Computer Science
- Finance
- Bachelor's degree
10d
Manager - Risk Management & Internal Audit
Roots Recruitment Services —Thane, Maharashtra
- ₹7,00,000 - ₹14,00,000 a year
- Full-time
- SQL
- Analysis skills
- Math
Quick apply

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Compliance and Operations Head

FINNOVATE -
Mumbai, Maharashtra

Quick apply

Job details

Full-time
₹12,00,000 - ₹15,00,000 a year
8 days ago

Benefits

Health insurance
Paid time off

Qualifications

Wealth management
Microsoft Excel
Finance
Analysis skills
Bachelor's degree
Business Administration
Communication skills

Full job description

Job Overview: We are looking for a detail-oriented and proactive Compliance & Operations professional to manage regulatory compliance and operational processes for our SEBI-registered Investment Advisory (RIA) and Portfolio Management Services (PMS) business. The ideal candidate should have a strong understanding of SEBI regulations, operational workflows, documentation, and coordination with internal and external stakeholders.

Key Responsibilities:

Compliance:

Ensure compliance with SEBI regulations applicable to RIA and PMS businesses.
Prepare, review, and maintain statutory records, registers, and regulatory documentation.
Coordinate with auditors, compliance consultants, exchanges, custodians, and regulatory authorities.
Manage regulatory filings, disclosures, and periodic reporting within prescribed timelines.
Track regulatory updates and assist in implementing changes across the organization.
Monitor adherence to internal compliance policies, SOPs, and governance standards.
Support internal, statutory, and SEBI audits by providing necessary documentation and responses.

Operations:

Manage end-to-end client onboarding, KYC verification, and account opening documentation.
Coordinate with custodians, brokers, RTAs, banks, and other financial institutions for operational activities.
Ensure timely execution and reconciliation of investment transactions.
Maintain accurate client records, agreements, and operational documentation.
Prepare MIS reports, compliance reports, operational dashboards, and management reports.
Monitor operational risk and recommend process improvements to enhance efficiency. Resolve operational queries from internal teams and clients.

Documentation & Reporting:

Maintain agreements, client records, regulatory registers, and compliance documents.
Prepare monthly, quarterly, and annual compliance reports.
Ensure proper record retention in accordance with SEBI regulations.
Assist in drafting and updating internal policies, SOPs, and operational manuals.

Stakeholder Management:

Collaborate with Investment, Relationship Management, Finance, Legal, and Technology teams.
Coordinate with external vendors, custodians, consultants, and auditors for smooth business operations.

Desired Candidate Profile:

Bachelor’s degree in commerce, Finance, Business Administration, Law, or a related field.
3–7 years of experience in Compliance and Operations within Wealth Management, PMS, RIA, Mutual Funds, Broking, or Asset Management.
Good understanding of SEBI (Investment Advisers) Regulations and SEBI (Portfolio Managers) Regulations.
Knowledge of KYC, AML, FATCA, CKYC, and investor onboarding processes. Proficiency in MS Excel and reporting tools. Strong analytical, documentation, and problem-solving skills.
Excellent communication and stakeholder management abilities.
Ability to work independently and manage multiple priorities.

Preferred Experience:

Experience working in a SEBI-registered RIA or PMS organization.
Familiarity with compliance management systems and wealth management platforms.
Exposure to regulatory audits and compliance reporting.
Certifications such as NISM Investment Adviser (Level 1 & 2), NISM Series XXI-A/B, or other relevant certifications will be an added advantage.

Key Competencies:

Regulatory Compliance
Operations Management
Documentation & Record Management
Attention to Detail
Risk & Control Analytical Thinking
Stakeholder Management
Process Improvement
Time Management
Integrity & Confidentiality

Benefits on being a part of Finnovate:

➢ Health Insurance: Coverage including options for dependents.

➢ Paid Time off: Vacation days and holidays, allowing employees to take time off while still receiving pay.

➢ Parental Leave: Paid time off for new parents, including maternity, paternity, and adoption leave.

➢ Recognition and Incentives: Performance-based variable pay or recognition programs to reward employees for their contributions.

➢ Company Events and Celebrations: Company outings, team- building activities for bonding between team members

➢ Employee Recognition Programs: Awards, incentives, or bonuses for outstanding performance or tenure.

➢ Employee Referral Programs: Bonuses or incentives for referring qualified candidates who are hired by the company.

Working Days: Monday to Saturday (Alternate Saturdays off)

Working Time: 9.30 am to 6.30pm (Employees working on Sundays are eligible for a comp off)

Pay: ₹1,200,000.00 - ₹1,500,000.00 per year

Work Location: In person

Quick apply

Refine Your Search

mutual funds operations jobs in mumbai maharashtra

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