Role & responsibilities The PO will oversee regulatory, compliance and operational requirements for the companys PMS business segment. The ideal candidate will bridge the gap between fund management, compliance, and reporting, ensuring seamless trade execution and strict adherence to SEBI regulations.

Key Responsibilities

1. Trade Execution & Portfolio Management

- Trade Execution: Ensure prompt and exact execution of trades in strict compliance with dealing room guidelines and internal risk limits, investment mandates, trade restriction list and regulatory requirements.
- Operations: Responsible for end-to-end portfolio rebalancing and asset allocation of fund portfolios, ensuring alignment with strategy objectives guidelines.
- Trade Allocation: Perform accurate and timely trade allocations across portfolios, ensuring proper lot-level accounting and compliance with allocation policies.
- Investment Committee Documentation: Prepare and maintain detailed rationales and documentation for all decisions made by the Investment Committee to ensure audit compliance and internal governance.
- Macroeconomic & Market Research: Conduct in-depth research on macroeconomic trends, and financial market dynamics to generate actionable insights and support portfolio strategy.

2. Custodian and Fund Accounting Coordination

- Operational Lead: Serve as the primary point of contact for custodians and fund accountants; coordinate on settlements, reconciliations, and resolution of operational queries.
- Reporting: Prepare and submit all necessary reports, files, and documentation to custodians and fund accountants on a regular and ad-hoc basis, ensuring accuracy and timeliness.

3. Compliance Operations

- Periodic Filings: Track, prepare, and file all monthly, quarterly, and annual compliance submissions within prescribed deadlines as required under PMS regulations.
- Regulatory Lead: Act as the primary point of contact with SEBI, APMI, auditors, and other related authorization bodies.



Coordinate regulatory filings, inspections, audits, and submissions. Facilitate responses to queries, notices, and regulatory observations.
- Compliance Calendar: Maintain and update a compliance calendar to ensure no regulatory filing is missed; coordinate with internal teams to gather required data and documentation.
- Regulatory Updates: Stay updated on circulars and regulatory changes; implement new compliance requirements efficiently.
- Record Keeping: Maintain proper records, logs, and audit trails for all compliance activities to ensure inspection readiness at all times.
- Oversee statutory compliance and Anti-Money Laundering and Counter-Terrorist Financing (AML/CFT) frameworks and PMS guidelines.

Preferred candidate profile

- Education: Graduation from a university or institution recognized by the Central or State Government, or a recognized foreign university; or a CFA Charter from the CFA Institute, USA; or a Chartered Accountant certification from the Institute of Chartered Accountants of India; or a Company Secretary certification from the Institute of Company Secretaries of India; or a Cost and Management Accountant certification from the Institute of Cost Accountants of India.
- Experience: Candidate must have at least five years of experience in the securities market (such as with a portfolio manager, stockbroker, investment advisor, research analyst, or fund manager), including a minimum of two years specifically in portfolio management, investment advisory services, or fund management-related areas.
- Certification: NISM-Series-XXI-B: Portfolio Managers Certification is mandatory.
- Sound understanding of SEBI regulations, AML/KYC norms, and fund structures.
- Technical Skills: Strong proficiency in Excel, Google Sheets, and experience with PMS software/OMS/trading platforms.
- Soft Skills: Exceptional attention to detail, high efficiency, ability to work under pressure, strong analytical mindset, and excellent communication skills for inter-departmental and regulatory coordination.

📌 Principal Officer (New Delhi)
🏢 Valtrust Partners
📍 New Delhi