Vice President - Fund Operations, Execution & Compliance

Qode; Mumbai; Presencial; INR 3.000.000 - 5.000.000; Jornada completa

Descripción de la vacante

Qode is seeking an experienced operations and compliance leader to scale PMS middle-office, execution, and regulatory frameworks in Mumbai. You will drive onboarding, KYC, AML, and documentation, while coordinating with custodians, brokers and legal advisors to ensure flawless trade execution and robust controls.

Lead the PMS compliance program, monitor risk and exposures, and implement scalable processes. The role demands strategic thinking, strong leadership, and hands-on execution in a

Formación

• Experience in PMS operations and regulatory compliance.
• Ability to design scalable operational processes and controls.
• Strong knowledge of SEBI PMS Regulations and capital markets.

Responsabilidades

• Oversee PMS operations across the investment lifecycle, including onboarding and KYC.
• Supervise reconciliations, corporate actions, cash flows, and settlements.
• Lead compliance functions for SEBI PMS regulations, PMLA, and exchange rules.
• Establish trade controls, maker-checker frameworks, and best execution.
• Coordinate with custodians, brokers, auditors, and legal teams.
• Drive automation and SOPs; build KPIs and dashboards.

Conocimientos

Regulatory compliance

Leadership

KYC AML CRS

PMS regulations

Operations mgmt

Process improvement

Automation

Stakeholder management

Risk management

Educación

CA

CFA

MBA (Finance)

CS

Descripción del empleo

We are a fast-growing investment management platform operating under SEBI-regulated Portfolio Management Services (PMS). We are seeking an experienced operations and compliance professional to lead and scale our middle-office, execution, portfolio 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.

Oversee all PMS operational activities across the investment lifecycle. Manage investor onboarding, account opening, KYC, AML, FATCA, CRS, and related documentation processes. Supervise portfolio reconciliations, expense allocations, corporate actions, and accounting processes. Coordinate with custodians, brokers, depositories, auditors, and legal advisors. Ensure accurate maintenance of investor records, transaction records, and operational documentation. Monitor portfolio cash flows, investments, withdrawals, and related transactions. Oversee execution of equity, derivatives, debt, ETF, and other permissible securities transactions. Ensure timely order placement, trade allocation, settlement monitoring, and exception management. Establish and maintain robust trade controls, maker-checker frameworks, and best execution practices. Liaise with brokers and custodians to resolve execution and settlement-related issues. Monitor portfolio-level exposures, leverage, concentration limits, and regulatory restrictions. Lead compliance functions relating to SEBI PMS Regulations, PMLA requirements, and applicable exchange regulations. Ensure timely submission of all regulatory filings, disclosures, and reporting requirements. Develop and maintain compliance monitoring frameworks and internal control systems. Coordinate regulatory inspections, internal audits, compliance reviews, and statutory audits. Maintain all regulatory registers, compliance records, and policy documentation. Monitor implementation of compliance policies and escalation breaches to senior management. Develop and implement scalable operational processes and SOPs. Drive automation initiatives across operations, reporting, compliance monitoring, and reconciliations. Identify operational risks and implement appropriate risk mitigation controls. Lead technology implementation projects relating to OMS, PMS, portfolio accounting, and compliance systems. Build, mentor, and manage the operations and compliance team. Establish KPIs, operational dashboards, and service-level standards. Foster a culture of accountability, accuracy, and continuous improvement. Collaborate closely with investment, investor relations, finance, and technology teams. CA, CFA, MBA (Finance), CS, or equivalent professional qualification. 8-15 years of relevant experience in PMS, Asset Management, Mutual Funds, Wealth Management, Custody, Portfolio Administration, or Capital Markets Operations. Demonstrated experience managing portfolio operations, trade execution, and regulatory compliance functions. Prior experience in a leadership role within an investment management platform is strongly preferred. Strong working knowledge of PMS regulatory frameworks. Preferred: NISM certifications and other capital market certifications will be an added advantage.