About Us We are a fast-growing investment management platform operating under SEBI-regulated Portfolio Management Services (PMS). 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 the 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 • Strong 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.