Associate Vice President, Compliance

3 weeks ago

mumbai, India Ares Management Corporation Full time

Description

PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES

• Manage all aspects of the setup of an Ares entity in GIFT City, in coordination with Ares management.
• Identify and keep abreast on all compliance requirements for a licensed fund manager in GIFT City
• Update the firm on new and updated compliance requirements and develop, review, and modify policies and systems accordingly.
• Ensure compliance with relevant Ares global and regional internal processes and policies.
• Undertake compliance control functions and compliance monitoring programs, as appropriate, including the development of trackers and reports to confirm compliance.
• Monitor and analyze applicable regulatory requirements and best practices on an ongoing basis.
• Provide compliance training to the GIFT City employees and other Ares employees engaging with the GIFT City entity.
• Prepare regulatory filings for the GIFT City entity to be filed with the IFSCA and other relevant regulators.
• Prepare the regulatory documents to be filed to with the IFSCA and other relevant regulators including disclosure documents for new products.
• Act a point of contact with the with the IFSCA.
• Provide compliance support for other Ares business in India including on the above matters:
Prepare regulatory filings;
Identify, advise on and assist in the implementation of regulatory change, including from SEBI;
Provide compliance training to Ares employees;
Undertake compliance control functions and compliance monitoring programs, as appropriate

LOCATION
This role is to be based in Gujarat International Finance (GIFT) City, Gujarat. India. Ares may consider hiring a candidate from outside of GIFT City who is willing to relocate to the GIFT City within 6 months or as otherwise directed by the IFSCA. Once based in GIFT City, the employee must comply with the GIFT City Special Economic Zone rules relating to domicile.

QUALIFICATIONS
Education:
• Bachelor’s Degree required (minimum 2 years in duration). Advanced degree considered a plus.
Experience Required:
• At least 6-8 years of experience working in a compliance role in a regulated financial institution, preferably with experience in asset management products.
• Solid understanding of Indian financial advisory industry practices.
• Proven experience in establishing and maintaining a strong and effective relationship and communication with SEBI or other Indian regulators and within investment associations.
• Experience in the filing of various regulatory reports.
General Requirements:
• Self-motivated, highly detail oriented, display good judgment and logical decision making apart from highly developed technical skills.
• Excellent communication and organizational skills, strong motivational drive and proactive in delivering to the needs of the business.
• High degree of fluency in English, with the ability to interpret regulations in English and regular communication with people from all teams.
• Proactive management approach, including effective upward management
• Strong interpersonal skills and excellent team orientation
• Have strong sense of ownership spirit, and able to work independently.
• Possess multi-tasking skills and ability to work well under pressure and in a fast-paced environment.
• Basic understanding in the financial statements of financial instruments business operators

COMPANY DESCRIPTION
About Ares Asia
With a pan-Asian presence, Ares Asia is one of the largest alternative asset managers in Asia-Pacific with approximately US$15.3 billion in assets under management. Led by a highly experienced management team that has delivered attractive investment performance across various market cycles, transaction types and Asian countries, Ares Asia leverages its broad geographical footprint and extensive infrastructure in the region to make credit, private equity, and special situations investments on behalf of its institutional client base.
Ares Asia’s team has been consistently recognized for industry accolades, including Private Debt Investor’s Distressed Debt Investor of the Year, Asia-Pacific in each of the last six years. Ares Asia was founded in 2009 as SSG Capital and was renamed after the acquisition in July 2020 by Ares Management Corporation (NYSE: ARES), a leading global alternative investment manager operating integrated businesses across credit, private equity, and real estate.

Reporting Relationships

Managing Director, Head of APAC Compliance

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.

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