Qode
Website:
qodeinvest.com
Job details:
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.
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