Job Detail

Home / Job Detail

Head Operations and compliance officer - Job Id 11179

Pune (Maharashtra-India)
6-10 Yrs
1200000 INR - 1800000 INR Yearly
Date Posted: May 20, 2026
Skills Required:

Job Description

1  Operations & Trade Settlement

  • Oversee the end-to-end trade lifecycle — order management, trade execution coordination, settlement, and reconciliation.
  • Ensure T+1 settlement discipline, monitor trade confirmations, and resolve breaks with custodians and brokers.
  • Execution and tracking of Mutual fund transaction including non-financial ones.
  • Manage relationships with custodians (CDSL/NSDL), brokers, clearing members, and prime brokers.
  • Monitor daily NAV computation and portfolio valuation across client accounts.
  • Implement and maintain straight-through processing (STP) workflows to minimize manual errors.

 

2  Client On-boarding & KYC/AML

  • Oversee client on-boarding processes in compliance with PMLA, FATF guidelines, and SEBI KYC norms.
  • Ensure thorough due diligence — PAN, Aadhaar, FATCA/CRS declarations, beneficial ownership, and risk profiling.
  • Coordinate with KRAs (KYC Registration Agencies) for seamless client registration.
  • Maintain and periodically review KYC records, triggering enhanced due diligence (EDD) for high-risk clients.
  • Manage client documentation, agreement execution (portfolio management agreement, power of attorney), and record-keeping as per SEBI norms.

 

3  Regulatory Compliance Support

  • Support the Compliance Officer in ensuring adherence to SEBI (Portfolio Managers) Regulations, 2020 and all applicable SEBI circulars.
  • Ensure timely submission of regulatory reports — SEBI monthly/quarterly data submissions, Form A, PAISA portal reporting, etc.
  • Maintain and update the Operations Manual, Standard Operating Procedures (SOPs), and compliance checklists.
  • Prepare for and coordinate SEBI inspections, audits, and due diligence exercises by clients or consultants.
  • Monitor regulatory updates from SEBI, RBI, AMFI, and BSE/NSE and implement operational changes accordingly.
  • Oversee compliance with insider trading prevention policies and conflict-of-interest frameworks.

 

4  Fund Accounting & Reporting

  • Oversee accurate maintenance of client-wise portfolio records, P&L statements, and performance reports.
  • Ensure accurate computation of fees — management fees, performance fees (hurdle rate, high water mark) as per agreements.
  • Coordinate quarterly client reporting — performance attribution, holdings statement, transaction summaries.
  • Liaise with auditors for annual financial statement preparation and statutory audit of the PMS entity.
  • Monitor fund-level expenses, TDS on income, GST applicability, and STT/CTT accounting.

 

5  Technology & Systems

  • Manage and optimize PMS back-office systems — Wealth Spectrum portfolio management software, CRM, and reporting platforms.
  • Lead technology projects — system migrations, integrations with depositories, RTAs, custodians, and broker platforms.

6  Team Leadership & Process Governance

  • Build, mentor, and lead a high-performing operations team across middle-office, back-office, and client service functions.
  • Define and enforce SOPs, TATs (turnaround times), escalation matrices, and quality benchmarks.
  • Drive a culture of accuracy, accountability, and continuous improvement within the operations team.
  • Conduct periodic internal audits of operational processes and implement corrective action plans.
  • Manage staff training on regulatory updates, system changes, and operational best practices.

 

7  Client Servicing & Investor Relations Support

  • Act as an operational escalation point for client queries — portfolio statements, transaction histories, and performance reports.
  • Coordinate smooth transitions during client on-boarding, exits, portfolio restructuring, or account closures.
  • Work with relationship managers to deliver superior client experience and reduce operational turnaround times.
  • Handle client grievances from an operational perspective and ensure timely resolution within regulatory TATs.

 

4.  REQUIRED QUALIFICATIONS & EXPERIENCE

1  Educational Qualifications

  • Chartered Accountant (CA) / MBA (Finance) from a reputed institution / PGDM Finance
  • NISM Certification — Series-IX (Research Analyst) or Series-XXI-A (PMS Distributor) preferred
  • Additional certifications in risk management, AML/KYC, or fintech operations are advantageous

2  Professional Experience

  • 10 – 15 years of total experience with minimum 5 years in a senior operations role within a PMS, AMC, Wealth Management firm, or NBFC.
  • Demonstrated experience managing a team in a regulated financial services environment.
  • Strong working knowledge of SEBI (Portfolio Managers) Regulations, 2020 and related SEBI circulars.
  • Exposure to managing AUMs above ₹500 crore is preferred.
  • Prior experience handling SEBI inspections or regulatory audits is highly desirable.

3  Technical & Domain Knowledge

  • Deep familiarity with custodians (CDSL/NSDL), broker settlement systems, and clearing corporation frameworks.
  • Working knowledge of portfolio management, Investment advisory, Mutual Fund distribution or.
  • Understanding of financial instruments — listed equity, debt securities, REITs, InvITs, ETFs, and derivatives.
  • Knowledge of GST/TDS/STT applicability in PMS transactions.
  • Proficiency in Excel (advanced), data tools, and MIS reporting.

Job Detail

  • Type:
    Full Time/Permanent
  • Shift:
    First Shift (Day)
  • Positions:
    2
  • Gender:
    No Preference
  • Degree:
    Graduation, Post-Graduation, CA/CS
  • Industry:
    Banking / Financial Services / Broking
Apply Now

Share This Job

Related Jobs

  • Electrical Design Engineer

    Delhi(Delhi-India)
    8-12 Yrs
    1200000 INR - 1800000 INR Yearly

     -:- Engineer should be expert / experien...

  • Team Coordinator

    Delhi(Delhi-India)
    1-2 Yrs
    1200000 INR - 1800000 INR Yearly

     The Team Coordinator serves as the centr...

  • Senior Compliance Manager

    Bangalore(Karnataka-India)
    5-10 Yrs
    1200000 INR - 1800000 INR Yearly

      Corporate Governance & Secretar...

  • Accounts Manager

    Delhi(Delhi-India)
    8-10 Yrs
    1200000 INR - 1800000 INR Yearly

     We are seeking a detail-oriented and pro...

  • Executive Operations Manager With Procurement Experience

    Delhi(Delhi-India)
    2-5 Yrs
    1200000 INR - 1800000 INR Yearly

     We are looking for a highly dynamic and ...

Quick Links

Find Jobs By Type



Contact Us

C-64/2, Okhla Industrial Area, Phase II, New Delhi, Delhi 110020
+9176781 87130 | +9195408 31300 | 01141010035
Copyright © 2026 Job24by7.com. All Rights Reserved.
Close

Raise your Query

Hi! Simply click below and type your query.

Our experts will reply you very soon.

Click Here to Chat JOB24by7 Recruitment Consultan...
WhatsApp Us
Job24by7 Assistant