01Overview
1. Portfolio &
Investment Management
Develop, implement and monitor investment strategies for client portfolios.
Conduct research and analysis of companies, sectors, markets and macroeconomic trends.
Evaluate investment opportunities and make portfolio recommendations aligned with client objectives and risk profiles.
Monitor portfolio performance, asset allocation and risk exposure.
Ensure all investment decisions remain within approved client mandates and investment guidelines.
2. PMS Operations &
Regulatory Compliance
Act as the Principal Officer for the Portfolio Management Services business.
Ensure compliance with applicable SEBI PMS Regulations, circulars and guidelines.
Oversee regulatory filings, disclosures, reporting and documentation.
Ensure proper implementation of KYC, AML and client onboarding requirements.
Coordinate with compliance teams, auditors, regulators and other external stakeholders.
Monitor compliance with applicable investment and operational policies.
3. Risk Management &
Governance
Identify, assess and mitigate investment, operational and regulatory risks.
Establish and monitor internal controls for portfolio construction, execution and reporting.
Conduct periodic portfolio and compliance reviews.
Ensure appropriate risk controls and escalation mechanisms are in place.
Support internal and external audits and ensure timely closure of observations.
4.
Client
Management
Oversee client servicing and ensure transparent communication regarding portfolio performance and investment strategy.
Review and approve client portfolio reports, performance updates and investment communications.
Ensure client portfolios are managed in accordance with agreed mandates and risk profiles.
Address client queries and grievances and ensure timely resolution.
5. Reporting &
Performance Monitoring
Monitor portfolio performance against benchmarks and client objectives.
Prepare and review periodic management and portfolio performance reports.
Track portfolio-level risk metrics, returns and asset allocation.
Provide management with insights on portfolio performance, market developments and investment risks.
6. Team &
Process Oversight
Supervise investment, research, operations and compliance activities related to PMS.
Ensure effective coordination between investment, operations, compliance and client servicing teams.
Establish and improve processes to ensure efficient and compliant PMS operations.
Maintain high standards of governance, documentation and operational discipline. .
