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 escalate 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
- Robust 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

📌 VP – Fund Operations, Execution and Compliance - Mumbai
🏢 Neuraleap Group
📍 Mumbai