ABOUT VANTROCK

Vantrock is an operator-led real assets platform, built to work in the white space of every strategy it enters.

A real asset is three jobs: finding the land, building and running the asset, managing the capital that owns it. Vantrock does all three with one team. Headquartered in Mumbai, it originates, develops, operates and manages institutional-grade real assets from land to operations.

Warehousing, industrial and logistics parks are the first strategy. The platform is run by operators, and it is built to run lean. Suburban office campuses, strata offices, data centres, senior living and infrastructure assets follow, each as its own strategy, sequenced on delivery and each in a white space others have left open, with a clear path to REITs and InvITs.

Real assets only, across every class the platform grows into, in sequence.

WHY THIS ROLE EXISTS

We are launching the platform's portfolio management company. It will manage discretionary and non-discretionary portfolios and advisory mandates for investors, under the rules that govern portfolio managers. A business like that is only as sound as its compliance on the first day.

This seat owns that compliance, for the portfolio management company alone. You build the policies, registers and calendar before the first investor. You check every portfolio against its mandate and the rules. And you tell the Board, and the regulator where the rules require it, when something is wrong.

You should not apply if your compliance work has mostly been signing off checklists someone else wrote. We are looking for the person who writes them.

WHAT YOU WILL OWN

- Regulatory Compliance

- Monitor compliance with the SEBI Portfolio Managers Regulations and applicable circulars, master circulars, guidelines and amendments.
- Maintain a regulatory compliance calendar covering periodic filings, disclosures, reporting deadlines and other statutory obligations.
- Monitor regulatory developments relevant to PMS operations and communicate their implications to management.
- Assist in implementing regulatory requirements into internal policies, procedures and operating controls.
- Coordinate with legal advisers and external consultants on regulatory interpretation and compliance matters.
- Maintain an updated register of applicable laws, regulations and compliance obligations.

2. Client Onboarding and Documentation
- Review and monitor client onboarding documentation, agreements, declarations and other prescribed documents.
- Ensure that the applicable disclosure document and other mandatory disclosures are provided to clients in accordance with regulatory requirements.
- Monitor compliance with client eligibility, KYC, AML and applicable anti-money-laundering requirements in coordination with the relevant teams.
- Ensure that client agreements, investment mandates, fee arrangements and disclosures are consistent with applicable regulations.
- Maintain appropriate records of client communications, disclosures, consents and documentation.

3. Investment and Portfolio Compliance Monitoring




- Monitor portfolio transactions for adherence to applicable regulations, client mandates and internal investment policies.
- Review investment restrictions, concentration limits and other applicable portfolio-level requirements.
- Monitor applicable restrictions relating to conflicts of interest, related-party transactions and personal trading.
- Escalate potential breaches, unusual transactions or compliance concerns to the Principal Officer and senior management.
- Coordinate with the investment and operations teams to maintain appropriate records supporting investment transactions and compliance reviews.
- Assist in reviewing investment-related disclosures and communications to ensure regulatory compliance.

4. Regulatory Reporting and Filings
- Coordinate preparation and submission of applicable regulatory reports, returns, disclosures and other filings within prescribed timelines.
- Maintain records of submissions, acknowledgements, supporting documents and regulatory correspondence.
- Monitor changes in prescribed reporting formats and filing requirements.
- Coordinate with custodians, brokers, accountants, auditors and other service providers to obtain information required for regulatory reporting.
- Track regulatory observations and ensure that corrective actions are implemented within agreed timelines.

5. Internal Controls and Compliance Reviews
- Develop, maintain and periodically review the PMS compliance manual and standard operating procedures.
- Conduct periodic compliance checks and maintain evidence of reviews performed.
- Identify compliance gaps, assess potential risks and recommend corrective measures.
- Track exceptions, breaches and remediation actions through closure.
- Support internal audits, external audits, regulatory inspections and compliance reviews.
- Ensure proper maintenance and retention of records in accordance with applicable requirements.

6. Investor Protection and Grievance Management
- Monitor investor complaints and coordinate their resolution within applicable timelines.
- Maintain records of complaints, responses, escalations and resolution status.
- Monitor compliance with applicable SEBI investor grievance redressal mechanisms, including SCORES and other prescribed platforms, where applicable.
- Assist in preparing investor communications and disclosures in accordance with regulatory requirements.
- Promote fair treatment of clients, transparency and appropriate management of conflicts of interest.

7. Policies, Training and Governance
- Assist in establishing policies relating to conflicts of interest, confidentiality, code of conduct, personal trading and information security, as applicable.
- Conduct periodic compliance awareness sessions for employees.




- Maintain records of employee declarations, policy acknowledgements and compliance training.
- Support management in reviewing compliance risks and implementing appropriate controls.
- Ensure that material compliance issues are promptly escalated and appropriately documented.

WHO WE ARE LOOKING FOR

Essential

- 5+ years in compliance in the Indian securities market, at a portfolio manager, asset manager, alternative investment manager, stock broker or investment adviser.
- A graduate degree from a recognised university.
- NISM-Series-III-A certification.
- A working command of the portfolio manager regulations, KYC and anti-money-laundering rules.
- No investment, dealing or research role alongside this one.
- You use AI tools every day in your work and can show what you have done with them.
- Mumbai, on site.

Advantageous

- A CS, LLB or CA qualification.
- A portfolio manager's application or an inspection handled end to end.
- Experience with KRA systems and portfolio accounting reports.

What this role is not

- It is not the investment manager's compliance seat. Compliance for the investment manager, its co-investment business, the group's company secretarial work, debentures and project approvals sits with that seat.
- It is not a legal counsel seat. Transaction drafting sits with external counsel.
- It is not an investment or operations seat. You check the decisions. You do not make them.

STANDING REQUIREMENTS AI proficiency is a standing requirement in every seat at Vantrock. You use AI tools daily as force multipliers, and you judge their output rather than forwarding it. This is tested for every appointment through a supervised assessment. There are no exceptions by seniority.

Partner command is the second standing requirement. Vantrock runs on outsourced partners, so every person here must be able to scope, brief, hold to an SLA, score and commercially discipline a partner, and must know what should never be delegated.

COMPENSATION PHILOSOPHY The people who build the platform own a piece of it, vesting over time. A market salary covers the month.

The rest of what you earn here is built: pay on what you bring in, for land, leases and capital, so a valuable year in your seat is yours and not only the company's, and a stake in a platform designed to be worth more for every rupee it manages than one assembled the old way. Most careers in this industry pay you for your time. This one is built to make you wealthier for what you build. Run your seat like it is yours, because part of it is.

CULTURAL FIT

We're building Vantrock over a decade, not a funding cycle. We're looking for people who treat technology as the default answer rather than a supplement, who want to be co-builders of the platform rather than employees executing instructions, and who are comfortable saying "I don't know" and "I was wrong." If you want a defined role with defined edges, this isn't the right seat. If you want to help build an institution from zero, it might be.

We don't fill seats. We build the platform.

📌 Compliance Officer, Portfolio Management (Mumbai)
🏢 Vantrock
📍 Mumbai