Role Overview:

As the Principal Officer for our Portfolio Management Services (PMS) division in Mumbai, you will serve as the regulatory and strategic anchor for our investment operations. You will oversee the end-to-end compliance framework, ensuring that all portfolio management activities align with SEBI regulations and internal risk mandates. This role involves close collaboration with the investment committee, operations teams, and senior stakeholders to maintain the highest standards of fiduciary duty. By bridging the gap between regulatory requirements and business growth, you will directly influence the firm's reputation, investor trust, and the scalability of our investment products in a competitive market.

Key Responsibilities:

- Direct the regulatory compliance framework for PMS operations to ensure adherence to SEBI guidelines and mitigate legal risks for the firm.

- Manage the internal audit and reporting processes to provide transparency and assurance to both the board of directors and regulatory bodies.

- Coordinate with fund managers and the investment team to review portfolio strategies, ensuring that all trades remain within the defined investment mandates and risk parameters.

- Oversee the onboarding and grievance redressal processes for high-net-worth clients to maintain exceptional service standards and long-term retention.

- Lead interactions with external auditors and regulatory inspectors to represent the firm's interests and demonstrate operational integrity.

Required Skillset:

- Demonstrate deep expertise in the Indian regulatory landscape, specifically regarding SEBI (Portfolio Managers) Regulations, with a proven ability to interpret complex legal circulars into actionable business policies.

- Exhibit strong leadership and interpersonal skills to navigate high-stakes discussions with senior management, regulators, and sophisticated institutional clients.

- Possess a sharp analytical mindset to monitor portfolio risk metrics and identify potential compliance gaps before they impact business outcomes.

- Hold a professional qualification such as a CA, CFA, or an MBA from a premier institute, which provides the necessary technical foundation for managing complex financial structures.

- Thrive in a high-intensity, on-site environment in Mumbai, demonstrating the agility to manage multiple regulatory deadlines while maintaining meticulous attention to detail.