Executive Director - Pre & Post Trade Compliance

Role: Pre & Post Trade Compliance / Investment Compliance

Level: Executive Director

Location: Mumbai

Experience: 18+ Years

The role is accountable for Controls Monitoring, Market Abuse Monitoring, and covering the end-to-end investment compliance capability. The capability includes client mandate interpretation, rule coding, pre- and post-trade monitoring, breach management, governance reporting, and

continuous control enhancement across portfolios/funds managed by the Asset Management business.

Responsibilities:

• Set the strategy and multi-year roadmap for Investment Compliance (coding + monitoring + governance) and Controls Monitoring, aligned to the Asset Management operating model, risk appetite, and control framework.
• Investment Compliance Coding & Onboarding Leadership - Oversee fund/portfolio onboarding and mandate change implementation end-to-end: interpretation → rule specification → coding → testing → go-live assurance.
• Oversee the operational performance and control outcomes of pre-trade and post-trade guideline monitoring (automated and manual where required).
• Ensure robust breach investigation, root-cause analysis, timely escalation, and closure discipline with clear accountability across front office, investment operations, and product.
• Oversee the team's control monitoring and market abuse monitoring outcomes.
• Serve as primary senior contact for audits, assurance reviews, control testing, and escalations, ensuring high-quality responses and remediation plans.

Qualifications

• 18+ years experience in a buy-side asset management environment, with significant depth in investment compliance/guideline monitoring and breach governance.
• Demonstrable experience leading teams across coding and monitoring, managing senior
• stakeholders, and delivering enterprise-level change.
• Strong experience interpreting fund prospectuses, IMAs, and converting requirements into system controls and operational processes.

If you wish to explore this opportunity, kindly write to me at [Confidential Information].