About Us

We are a quick-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.
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

📌 Vice President – Fund Operations, Execution (Mumbai)
🏢 Qode Advisors
📍 Mumbai