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"Job Description

• Ensuring compliances with IFSCA, SEZ and SEBI AIF, Ancillary Services, PMS 

Guidelines and Regulations, FEMA, Anti Money Laundering laws and assisting on KYC 

requirements under the legislations and ensuring that the procedures are followed 

and regularly reviewed.

• Ensuring secretarial compliances under the Companies Act, 2013 and such other 

statutes, regulations and guidelines as required and developing good corporate 

governance practices for the companies. Arranging board/general meetings and 

preparing minutes thereof.

• Follow-up on matters where required to ensure compliance.

• Maintenance of secretarial records, statutory books and registers and handling 

statutory & internal audits.

• Responding to inspections, regulatory and audit queries as the principal point of 

contact. Preparation, filing and registering forms, returns, applications or other 

documentation as required by and on behalf of the companies with Special

• Economic Zone Authorities, IFSCA SEBI, RBI or other regulatory authorities.

• Handling special assignments relating to Business initiatives to the extent impacting 

Compliance and Legal affairs. Implementing compliance policies and procedures.

• Conducting compliance training for the employees. Draft, review, negotiate, execute 

contracts, Non-Disclosure Agreements, Master Service Agreements, Statement of 

Works, Licensing Agreements, and other legal documents pertaining to the company 

and the client companies.

• Drafting and standardizing all legal documents of business and all other documents 

relating to the company. Provide legal solutions / remedies to the Business

• Teams to mitigate the risk involved in the business transactions Ability to Liaise with 

Regulatory and SEZ authorities as and when required"

"Role Overview

The Principal Officer will be responsible for the overall management, operations, and regulatory 

compliance. The role involves leading fund management oversight, ensuring adherence to risk and 

compliance frameworks, and maintaining governance standards as per IFSCA regulations.

Key Responsibilities

• Oversee all operational, fund management, compliance, and risk management activities of 

the organization.

• Act as the primary liaison with the International Financial Services Centre Authority (IFSCA) 

and other regulatory bodies.

• Ensure implementation of robust internal controls and risk management practices.

• Supervise fund management operations and ensure compliance with investment mandates 

and disclosure norms.

• Develop and maintain governance policies and ensure timely regulatory filings.

• Lead and mentor teams to uphold integrity, compliance, and professional standards.

Qualification & Experience

• Postgraduate qualification or professional degree in Finance or related fields, or membership 

of ICAI/ICSI/ICMAI/CFA/FRM.

• Minimum 5 years of experience in fund management, portfolio management, investment 

advisory, or related financial activities.

• Strong understanding of financial market regulations, compliance, and governance 

frameworks"

"Job Summary Job entails building up relationships with Asset Managers, PMS, AIFs, and Investment Advisors, located in Mumbai for investments into India (Equity, Mutual funds, Derivatives, Debt, AIFs & unlisted) under the FPI / FDI route via raising offshore funds. Also, global investments (listed and unlisted investments). It also requires a good understanding of the regulations (FPI & FDI) and creating products as per market requirements. Understanding fund domiciled regulations such as Mauritius, Cayman, Singapore, Gift City, Bermuda. Dovetail is also a clearing member in India and a fund admin in Gift City. Cross sell to clients for clearing services (AIf Cat 3) / admin services for fund set ups in Gift City.

Location: Mumbai (Parel / Prabhadevi) 

Responsibilities and Duties

• Prospecting, generating and acquiring leads, i.e. of AIFs / PMS / IA who want to raise global funds from investors and invest into India under FDI / FPI and similarly raise domestic funds and invest into global markets.  

Managing and growing existing business and client relationships.

• Managing Sales Activities and achieving monthly targets across products and services.

• Responsible for preparing yearly budgets and strategies for achieving the targets.

• Providing relevant information and feedback regarding competitors and their offerings, thereby helping product team to derive product variants and adding value to existing products and services.

This is a B2B sales and not a B2C. the reach here is to asset managers, AIFs, PMS etc and not end investors.

Qualifications

• Must have 5 to 7 years of sales experience into financial services (Custody / clearing / PMS / AIF sales)

• Ability to provide efficient solutions and meet timelines

• Ability to understand regulations of various jurisdictions

• Should have good communication skills and ability to work in teams

• Should have an affable personality, especially while liaising with counter parties"

"Role Overview:

As an PCM Product - Head you will be accountable for strategic leadership, regulatory compliance, risk governance, and automation across the clearing and settlement lifecycle. This senior leadership role demands deep domain expertise in derivative clearing, SEBI & IFSCA regulations, and a forward-looking approach to digital transformation, compliance automation, and cross-border risk management.

Key Responsibilities:

• Bring innovative ideas to develop and implement new solutions for business development and client servicing.

• Understand market dynamic sand ability to interpret the implications of regulatory changes on exiting product and possibility to create newer product on derivative clearing side across the gamut of future and options clearing

• Look after automation and digitization initiatives to streamline compliance monitoring, margin reconciliation, reporting, and surveillance mechanisms.

• Work closely with technology teams to design and deploy tools for regulatory reporting, KYC/AML, transaction surveillance, and exception handling.

• Drive transformation projects to enhance real-time risk flagging and compliance controls.

• Engage with key stakeholders – exchanges (NSE, BSE, IFSC exchanges), clearing corporations, depositories, and regulatory bodies – for collaborative initiatives, regulatory updates, and product innovation.

• Drive data integrity and real-time MIS for key compliance and risk metrics to be shared with the Board, Senior Management, and Regulators.

• Oversee the development and maintenance of compliance SOPs, internal controls, and business continuity measures specific to PCM.

• Foster a compliance-first culture across the organization.

Requirement:

• Postgraduate in Finance, Law, Economics, or related field from a reputed institution; certifications in compliance, risk, or regulatory domains (e.g., FRM, CAMS) are a plus.

• 10–15+ years of experience in compliance, regulatory reporting, risk, or product management roles within Clearing Members, Custodians, Exchanges, Broking, or Financial Services firms.

• Deep understanding of: 

o SEBI, IFSCA, FEMA regulations related to derivatives and clearing

o Exchange and clearing corporation frameworks

o Cross-border compliance and regulatory disclosures

• Strong grasp of financial risk management, capital adequacy, margining mechanisms, and settlement cycles.

• Proven track record in implementing compliance automation, risk monitoring systems, and transformation programs.

• Excellent communication, leadership, and stakeholder engagement skills with the ability to represent the organization before regulators and partners.

• Detail-oriented with exceptional analytical ability and judgment in interpreting complex regulatory environments."

"Job Summary:

The Senior Manager – Fund Implementation & Compliance will be responsible for ensuring the successful implementation of funds in India, with a particular focus on FPI licensing and compliance. The candidate will work closely with Designated Depository Participants (DDPs) to facilitate the registration and operationalization of funds for trading in India. The ideal candidate will possess strong expertise in the FPI industry, legal compliance frameworks, and a proven ability to manage teams and drive strategic initiatives.

Key Responsibilities:

- Oversee the entire process of FPI (Foreign Portfolio Investor) licensing, collaborating closely with DDPs (Designated Depository Participants) to ensure smooth implementation.

- Ensure timely and accurate communication with all relevant parties, including internal teams, legal advisors, consultants, DDPs, and third-party service providers.

- Continuously monitor the regulatory landscape to ensure compliance with FPI-specific regulations and adjust processes as needed to align with changes.

- Lead the automation of the existing manual processes for FPI licensing applications, optimizing efficiency and accuracy in operations.

- Manage, mentor, and support the team, providing strategic direction and guidance in both day-to-day operations and long-term initiatives.

Key Requirements:

- MBA or equivalent qualification in finance, business administration, or related field.

- 10-12 years of experience within the FPI industry, particularly in custody and DDP departments.

- Strong understanding of capital markets, FPI regulations, and the processes involved in fund implementation and licensing in India.

- Excellent written and verbal communication skills.

- Strong attention to detail and ability to work independently.

- Ability to handle multiple projects simultaneously and meet deadlines effectively."