Principal Officer

Banyan Tree Advisors is a SEBI-registered Portfolio Management

Role: Principal Officer

Team: Compliance

Location: GIFT City/Gujarat

Role Description:

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Core Responsibilities:

Regulatory & Governance Compliance

• Ensure full adherence to IFSCA (Fund Management) Regulations and internal compliance frameworks.
• Serve as the principal liaison with IFSCA; oversee all filings, reports, and disclosures.
• Report any non-compliance immediately and ensure corrective action.
• Review and strengthen internal controls and risk frameworks.

Fund & Investment Oversight

• Oversee portfolio and fund management in line with scheme objectives and investor interests.
• Monitor investment limits, valuation, and reporting accuracy.
• Ensure transparent and fair investor communication.

Investor Protection & Grievance Handling

• Review investor complaints periodically and ensure prompt resolution.
• Maintain high standards of disclosure and client communication.

Ethics & Conduct

• Uphold IFSCAs Code of Conduct integrity, honesty, fairness, and transparency.
• Avoid conflicts of interest and ensure all dealings are at arms length.
• Comply with internal policies on gifts, entertainment, and ethical behaviour.

Leadership & Coordination

• Coordinate Compliance, Fund Management, Risk, and Operations for regulatory alignment.
• Present periodic compliance and governance updates to the Board.
• Foster a culture of ethics, discipline, and accountability.

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 ICAI / ICSI / ICMAI, or holder of a post-graduate qualification or diploma (minimum one year) in finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, or actuarial science; or qualifications such as CFA, FRM, or any other certification approved by the Authority.
• Minimum 5 years of relevant experience in securities or financial products in roles such as portfolio/fund manager, investment advisor, broker, investment banker, wealth manager, research analyst, credit rating analyst, market infrastructure professional, financial regulator, or consultant in areas like fund management, due diligence, or transaction advisory.
• Prior exposure to PMS/AIF operations is desirable.
• Strong understanding of IFSCA/SEBI frameworks and fund governance standards.

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.Role & responsibilities

Preferred candidate profile