Head - Operations & Compliance - Wealth Management - CA

Head - Operations & Compliance

We are hiring a highly skilled and experienced Operations leader for our client in the wealth management space. The ideal candidate will be responsible for overseeing all operational aspects, including managing compliance, fund management, clients account audits, internal audits and general operational efficiency. This role will play a critical part in ensuring that our operations run smoothly and align with regulatory requirements and industry best practices.

Key Responsibilities:

- Develop and implement operational strategies to optimize efficiency and effectiveness.

- Supervise trade execution & EOD bifurcations/allocations and settlements

- Ensure compliance with all regulatory standards and requirements.

- Manage fund operations, including fund accounting, settlements, and reconciliations.

- Manage liaison with brokers, custodians and banks for PMS operations

- Client account audits and internal audit as per SEBI's PMS Regulations

- Collaborate with internal teams to streamline workflows and enhance operational performance.

- Monitor and manage risk associated with operational activities.

- Lead and mentor a team of operations professionals.

- Stay abreast of industry trends, regulations, and best practices.

Qualifications:

- Chartered Accountant (CA) qualification is mandatory.

- 5 to 10 years of progressive experience in operations within the financial services industry, - preferably in Portfolio Management Services (PMS), Mutual Funds, or Investment Banking.

- Additional qualifications such as Company Secretary (CS) or a law degree would be advantageous.

- Excellent written and oral communication skills.

- Strong leadership abilities with a proven track record of managing and developing teams.

- Ability to thrive in a fast- paced, dynamic environment.

- Detail- oriented with a strategic mindset.

Preferred Skills:

- Experience with operational processes specific to PMS, Mutual Funds, or Investment Banking.

- Knowledge of relevant laws, regulations, and compliance standards.

- Familiarity with financial software and systems.

- Proven ability to drive operational excellence and continuous improvement initiatives.