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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
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