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:
- 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[Confidential Information]with Subject title Operations and Compliance Manager (PMS)
It is important to provide subject title else your mail may get lost in other mails.
