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 workplace, 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.
- Strong 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 '[HIDDEN TEXT]'.

📌 Compliance Monitoring Executive - Director (Mumbai)
🏢 Credence HR Services
📍 Mumbai