Vice President - Legal & Compliance - BFS

- Investment Compliances of MF, AIF and PMS businesses

- Deal closely with the Equity and Fixed Income Investment Teams for the day to day investment activities

- Managing the Middle office team and guide them on their daily tasks such as:

- Daily review of trades executed for MF schemes, AIF schemes and PMS client portfolios, which may include trades executed across varied asset classes.

- Reconcile and validate trades capture and day trading activity in timely and accurate manner.

- Creation and testing of scheme rules/scheme master in the Front office/Order management system.

- Conduct reviews for broker empanelment, call recordings of Investment Teams, identify instances of deviation and seek justification from Fund Managers.

- Investment Universe tracking with research papers, addition of new credits tracking with credit notes, documentation of the same.

- Maintain and compute limits available as per investment mandates and communicate the same to respective Fund Managers

- Resolving queries/discrepancies arising out of alerts for monitoring of regulatory, SID and internal investment limits.

- Engage with Investment and Operations team for new processes/change in practices as required by Regulations

- Support periodic management reporting including regulatory reports to SEBI/AMFI, Board reporting (as required), adhoc data requests, liaising with various auditors.

- Set up strong processes and adhere to manuals and policies in order to monitor and control all investment risk areas.

- Co-ordinate with internal and external departments on various aspects pertaining to day