VP – Fund Operations, Execution and Compliance - Mumbai

Neuraleap Group; Maharashtra; On-site; INR 4,000,000 - 7,000,000; Full time

Job summary

Neuraleap Group seeks an experienced VP to lead Fund Operations, Execution and Compliance in Maharashtra, India. You will shape middle-office processes, drive regulatory compliance, and implement robust controls across trading, reconciliations, and investor-related activities.

The role partners with Fund Managers and senior leadership to build scalable, institution-grade operations and regulatory frameworks in a fast-growing platform.

Qualifications

• Professional qualifications in finance or capital markets (CA/CFA/MBA).
• 8–15 years of experience in PMS, asset management or capital markets operations.
• Experience leading operations, execution, and regulatory compliance functions.

Responsibilities

• Oversee PMS operational activities across the investment lifecycle.
• Manage investor onboarding, KYC/AML, FATCA/CRS processes and related documentation.
• Supervise reconciliations, expense allocations, corporate actions, and accounting.
• Coordinate with custodians, brokers, auditors, and legal advisors.
• Lead compliance with SEBI PMS Regulations, PMLA, and exchange rules.
• Drive automation, scalable processes, and SOPs across operations.

Skills

Leadership

Regulatory compliance

Process improvement

Team management

Stakeholder management

Communication

Education

CA

CFA

MBA (Finance)

CS

NISM certifications

Tools

OMS software

PMS software

Portfolio accounting systems

Regulatory reporting tools

Job description

VP – Fund Operations, Execution and Compliance

About Us

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 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.

Key Responsibilities

Portfolio Operations & Administration

• 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

Trade Execution & Middle Office

• 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

Compliance & Regulatory Oversight

• 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 elevate breaches to senior management

Process Improvement & Automation

• 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

Team Leadership

• 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

Qualification & Experience

Educational Qualifications

• CA, CFA, MBA (Finance), CS, or equivalent professional qualification
• NISM certifications and other capital market certifications will be an added advantage

Experience

• 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

Technical Knowledge

• Portfolio accounting and reconciliation processes
• Equity, derivatives, debt, and capital market operations
• Custody and settlement mechanisms
• SEBI regulations applicable to PMS entities
• Regulatory reporting and compliance monitoring
• Advanced Excel and operational reporting systems
• Experience with OMS/PMS software platforms and compliance monitoring tools

Key Attributes

• Strong leadership and team management capabilities
• Exceptional attention to detail and operational discipline
• High level of integrity and regulatory awareness
• Ability to work in a dynamic entrepreneurial environment
• Strong communication and stakeholder management skills
• Problem-solving mindset with a focus on scalability and process excellence

Skills: mutual fund,wealth management,ca,portfolio administration,sebi regulations,trade execution,settlement,pms,portfolio operations,compliance,oms,asset management,capital markets,operations,cfa,custody,nism