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Operations and Compliance Manager

2 months ago

New Delhi, India AKCJ Ventures LLP Full time

AKCJ Capital

Location: Connaught Place, Delhi

Job Type: Full-Time

Working Days: Mon to Fri


Job Summary

Assisting HNI clients with PMS Account Opening & Documentation (KYC) Liaoning with Custodian, Banker & Broker for daily reconciliations. Operating Fund Accounting & Custody Portal. Assisting team with daily trading activities. Other critical back-office tasks. SEBI compliance


It is an interesting client-facing role that also involves operations & compliance giving holistic exposure to candidates on capital markets, including a wonderful opportunity to closely observe how the core equity research team functions i.e. analyze investments and manage the fund.


Key Responsibilities:

  1. Operations Management:
  • Oversee day-to-day operations of the PMS, including account opening, trade execution, settlement processes, and client reporting.
  • Ensure the smooth functioning of portfolio management software and systems.
  • Collaborate with the portfolio managers, custodians, and brokers to ensure seamless execution of investment strategies.
  • Monitor and manage cash flow, including handling client funding, withdrawals, and account transfers.
  • Implement and optimize operational workflows to enhance efficiency and reduce operational risks.

2.Compliance Management:

  • Ensure compliance with SEBI regulations and other relevant statutory requirements related to PMS.
  • Implement and monitor adherence to internal compliance policies and procedures.
  • Prepare and submit periodic reports to regulatory authorities as required.
  • Conduct regular compliance audits and reviews to identify any potential compliance risks and take corrective actions.
  • Serve as the point of contact for regulatory inspections, audits, and inquiries.

3.Risk Management:

  • Identify, monitor, and mitigate operational and compliance risks within the PMS operations.
  • Develop and implement risk management frameworks to safeguard client assets and data.
  • Ensure the proper segregation of duties and implementation of internal controls.

4.Client Reporting and Communication:

  • Oversee the preparation and dissemination of client reports, including performance reports, statements, and disclosures.
  • Address client queries related to operations and compliance in a timely and professional manner.
  • Ensure accurate and compliant client communication, including marketing and disclosure documents.

5.Process Improvement:

  • Identify opportunities for process improvements and automation to enhance operational efficiency and accuracy.
  • Lead and participate in projects aimed at enhancing the PMS operational infrastructure.

6.Team Management:

  • Manage and mentor the operations and compliance team, fostering a culture of compliance and operational excellence.
  • Provide training and support to team members to ensure adherence to best practices and regulatory standards.


Qualifications:

  • Bachelor’s/Master’s degree in Finance, Business Administration, or a related field.
  • Minimum of 3-4 years of experience in operations and compliance within the PMS or asset management industry.
  • In-depth knowledge of SEBI regulations related to PMS.
  • Strong understanding of portfolio management processes, trading, settlement, and reporting.
  • Excellent analytical and problem-solving skills.
  • Strong organizational and multitasking abilities.
  • Excellent communication and interpersonal skills.


Interested candidates should submit their resume and portfolio to hello@akcjcapital.com with Subject title “Operations and Compliance Manager (PMS)”

It is important to provide subject title else your mail may get lost in other mails.