Role: Pre & Post Trade Compliance / Investment Compliance

Level: Executive Director

Location: Mumbai

Experience: 18+ Years The role is accountable for Controls Monitoring, Market Abuse Monitoring, and covering the end-to-end investment compliance capability. The capability includes client mandate interpretation, rule coding, pre- and post-trade monitoring, breach management, governance reporting, and continuous control enhancement across portfolios/funds managed by the Asset Management business.

Responsibilities:

- Set the strategy and multi-year roadmap for Investment Compliance (coding + monitoring + governance) and Controls Monitoring, aligned to the Asset Management operating model, risk appetite, and control framework.
- Investment Compliance Coding & Onboarding Leadership - Oversee fund/portfolio onboarding and mandate change implementation end-to-end: interpretation → rule specification → coding → testing → go-live assurance.
- Oversee the operational performance and control outcomes of pre-trade and post-trade guideline monitoring (automated and manual where required).




- Ensure robust breach investigation, root-cause analysis, timely escalation, and closure discipline with clear accountability across front office, investment operations, and product.
- Oversee the team’s control monitoring and market abuse monitoring outcomes.
- Serve as primary senior contact for audits, assurance reviews, control testing, and escalations, ensuring high-quality responses and remediation plans.

Qualifications

- 18+ years’ experience in a buy-side asset management environment, with significant depth in investment compliance/guideline monitoring and breach governance.
- Demonstrable experience leading teams across coding and monitoring, managing senior
- stakeholders, and delivering enterprise-level change.
- Robust experience interpreting fund prospectuses, IMAs, and converting requirements into system controls and operational processes.

If you wish to explore this opportunity, kindly write to me at "[email protected]".

📌 Executive Director - Pre & Post Trade Compliance (Mumbai)
🏢 Credence HR Services
📍 Mumbai