Vice President 2 of Investor Services

AVP/VP – Investor Services (AML/KYC & Transfer Agency)
Location: Bangalore, India
Work Mode: Hybrid

Shift: EMEA/Americas

Role Overview:

As AVP/VP - Investor Services, you will lead our India-based delivery team, responsible for supporting and executing all aspects of Investor Servicing, including AML/KYC due diligence, Transfer Agency operations, and Registrar functions, for funds domiciled in European jurisdictions such as Luxembourg, UK, Jersey, Spain….

Reporting into the Regional Director – Investor Services, you will act as the senior India lead for Investor Services, ensuring seamless alignment with operating models and regulatory standards. You will also liaise directly with onshore teams, clients and internal stakeholders, managing delivery performance, risk controls, and transformation initiatives across jurisdictions.

Key Responsibilities:

1. Investor Servicing Operations – Oversight and Execution

• Lead and oversee daily Investor Services operations, including:
  • Investor onboarding and ongoing maintenance
  • AML/KYC periodic reviews and triggering events
  • Transaction processing: subscriptions, redemptions, distribution, transfers
  • Investor statements and reports
• Ensure full compliance with fund offering documents, service level agreements (SLAs), and regulatory requirements.
• Support new fund launches and lifecycle events in collaboration with European teams.

2. AML/KYC Due Diligence

• Oversee the collection, validation, and risk profiling of investor KYC documents, including complex structures such as corporates, trusts and foundations.
• Ensure full adherence to:
  • European AML directives (4AMLD, 5AMLD, 6AMLD)
  • FATF recommendations
  • Internal AML and TA policies
• Manage sanctions screening, PEP/adverse media checks, and high-risk investor escalations.
• Supervise FATCA/CRS classification, documentation, and support regulatory reporting for all relevant investor files. 

3. Transfer Agency & Registrar Oversight

• Ensure accurate and compliant maintenance of the official shareholder/investor register for all clients. 
• Supervise all investor record-keeping, transaction updates, reporting requirements, and reconciliation processes.
• Oversee processing and review of investor activity reports and support for audit and regulatory requests.
• Liaise with internal stakeholders (legal, product, accounting) and external ones as needed.

4. Operational Risk & Regulatory Controls

• Design and maintain a robust risk and control framework for Investor Services operations from India.
• Ensure audit/inspection readiness and full compliance with EU regulations (e.g., AIFMD, UCITS, CSSF circulars, CBI regulations).
• Implement strong maker-checker controls, four-eyes principles, breach reporting, and exception handling procedures.
• Conduct root cause analysis for operational errors and lead timely resolution and remediation.

5. Governance & Stakeholder Engagement

• Act as the India liaison to the European Investor Services leadership and client relationship teams.
• Participate in global and regional governance forums, service reviews, and transformation committees.
• Drive proactive communication with stakeholders across:
  • European operational hubs
  • Fund and asset managers
  • Legal and compliance teams
  • Investors and their intermediaries
• Represent operations in client onboarding calls, fund transition planning, and regulatory response initiatives.

6. People & Performance Leadership

• Lead, manage, and mentor teams 
• Set and track KPIs, SLAs, productivity, and quality metrics.
• Foster a high-performance culture emphasizing compliance, collaboration, continuous learning, and operational excellence.
• Drive talent development, succession planning, and internal mobility strategies.

7. Change Management & Transformation

• Champion process improvements, automation of investor servicing workflows.
• Lead initiatives related to:
  • System upgrades and migrations
  • Fund and investor onboarding projects
  • Regulatory change implementation (e.g., AML directive updates, ESG/KYC integrations)
• Contribute to global procedure updates, best practices, and investor services playbooks.

Key Expectations:

• Service Excellence: Deliver accurate, timely, and high-quality investor services support across European fund clients.
• Regulatory Readiness: Maintain up-to-date expertise on EU fund and AML regulations, ensuring compliance and audit-readiness.
• Cross-Border Collaboration: Work effectively with internal teams across Europe and support seamless client engagement.
• Client & Board Readiness: Be prepared to support clients, fund boards, and senior stakeholders as required.
• Adaptability: Lead your team through change, transformation, and evolving regulatory landscapes.

Qualifications & Experience:

• 15+ years of experience in fund administration, investor servicing, or related financial operations.
• Strong knowledge of European fund structures (UCITS, AIFs), AML/KYC regulatory frameworks, and transfer agency operations.
• Experience liaising with onshore teams in Luxembourg, Ireland, or similar regulated jurisdictions.
• Proven leadership of mid-large teams, preferably in a global delivery model.
• Familiarity with tools and systems such as:
  • World-Check, Investran, 
  • Workflow and investor onboarding systems
• Master’s degree in finance, Law, Business Administration, or related discipline.
• Preferred certifications: CAMS, ICA, IFM (TA), or equivalent AML/Investor Services certifications.

Work Environment & Location:

• Based in Bangalore, India
• Supports operations and clients across other jurisdictions.
• Must be flexible to work in European time zones for governance calls and client meetings.
• Occasional international travel may be required for key meetings, strategic planning sessions, or client visits.