Compliance Officer

About Banyan Tree

Banyan Tree Advisors

Role:

Team:

Location:

Role Description:

The Compliance Officer shall ensure full regulatory compliance and effective management of compliance for the Fund Management Entity (FME) at IFSC, GIFT City. The role involves maintaining policies and procedures, monitoring investment limits and investor eligibility, conducting audits, and filing regulatory reports in line with IFSCA, RBI, SEBI (AIF/PMS), SEZ and any other regulatory requirements across various jurisdictions outside India. The position upholds legal and ethical standards, minimises risk, and supports the Group Compliance team in maintaining operational integrity and stakeholder trust. This role demands strong regulatory expertise, attention to detail, and proactive engagement with auditors and regulators to ensure seamless compliance.

Core Responsibilities:

• Track all regulatory requirements, circulars, and updates, and ensure timely implementation within the organisation.
• Obtain inputs from empanelled third-party experts and develop practical policies or processes based on their recommendations.
• Implement required compliance processes, working directly or in coordination with other teams.
• Monitor ongoing compliance, identify deviations, and ensure timely corrective actions and regulatory submissions. Conduct internal compliance audits and inspections and ensure prompt closure of any gaps identified.
• Stay updated on changes in laws, regulations, and guidelines affecting PMS and AIF operations, and incorporate them into company practices.
• Review and update compliance policies regularly to align with regulatory changes and industry standards.
• Coordinate with auditors, legal advisors, tax consultants, and regulators, and strengthen compliance systems for GIFT City operations.
• Ensure all investor communications and disclosures are accurate, complete, and compliant with regulatory requirements.

Desired Skills:

• High level of integrity, accountability, and professional ethics.
• Customer-centric mindset with a strong commitment to a long-term role.
• Ability to manage multiple responsibilities efficiently within a lean team structure and take complete ownership of assigned deliverables.
• Sound understanding of securities market regulations and proven ability to implement compliance frameworks in practice.

Qualification/Experience:

• Professionally qualified individual and a member of the Institute of Chartered Accountants of India (ICAI) / Institute of Company Secretaries of India (ICSI) / Institute of Cost Accountants of India (ICMAI), or an equivalent professional institution in a foreign country.
• Candidates holding a Bachelor of Laws (LLB) degree from a recognised Indian or foreign university/institution will also be considered a valid professional qualification.
• Minimum 3 years of relevant experience in compliance, legal, or risk management functions within a listed company or an entity regulated by a financial sector regulator.
• Prior exposure to Portfolio Management Services (PMS) and Alternative Investment Funds (AIF) operations is preferred.
• Should be capable of actively supporting both the setup and post-establishment compliance of the AIF at GIFT City.

Our commitments:

• We are an equal opportunity employer and actively encourage diversity and inclusion in the workplace.
• We promote a healthy work-life balance and a supportive environment that values individual well-being.
• We offer flexibility, empowering employees to manage their time effectively in line with personal and professional commitments.
• We provide excellent learning and growth opportunities, fostering continuous professional development.
• We uphold a strong value system built on integrity, respect, and accountability.