Associate, Compliance

4 months ago

Mumbai Maharashtra, India Ares Management Full time

Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry._

**Job Description**:

- Primary Functions and Essential Responsibilities
- Core Responsibilities
- Support the administering of the Corporate Compliance polices, including Code of Ethics and Conduct and Anti-Corruption policies;
- On a daily basis, respond to inquiries relating to gifts & entertainment, and screen lists of invitees to Ares-sponsored events;
- Assist in processing and escalating Code of Conduct and Anti-Corruption matters including pre-clearance of business gifts and entertainment and political contributions as well as Conflict of Interest policy matters such as employee outside business activity requests;
- Support the onboarding of new employees into our Compliance program including, i) new hire access activation; ii) new hire training and disclosure form tracking; iii) tracking current employee statuses for certifications/access maintenance; and iv) tracking temporary workers;
- Support offboarding process for terminated employees;
- Assist in the creation and delivery of training materials to staff members;
- Participate in Compliance program initiatives, projects, etc. beyond core responsibilities;
- Utilize compliance system technology to leverage information sharing and enable collaboration;
- Identify exceptions to policies and escalate as appropriate for further analysis to address root cause assessment;
- Be a daily resource to Ares’ global employee base on compliance questions and issues;
- Help maintain internal procedures and training materials that are critical to the effectiveness and continuity of the Ares Corporate Compliance program;
- Help maintain, track and report key performance indicators/metrics for Corporate Compliance team as assigned; and
- Assist with intake requests for record retention and data management.
- QUALIFICATIONS
- Education:

- Bachelor’s degree preferred
- Compliance Certificate considered a plus
- Experience Required:

- 2 to 4 years of compliance and/or paralegal experience within the financial services industry
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
- General Requirements and Personal Attributes:

- Energetic, initiative-taking, coachable, detailed oriented and organized;
- Enjoys a fast-paced environment with changing and evolving responsibilities;
- Knowledge and experience with SEC regulations and laws;
- Solid written, verbal and interpersonal skills;
- Strong analytical and critical thinking skills;
- Creative, entrepreneurial, able to work in teams under high pressure and contribute to a collaborative environment;
- Resilient with ability to adapt to changing business priorities and emerging technologies;
- Invested in own personal development;
- Consistently pursues client experience excellence; and,
- Familiarity with Compliance trading and CRM systems such as StarCompliance, ComplianceAlpha or Salesforce would be an added advantage.

Reporting Relationships

Head of Corporate Compliance

  • Guest Service Associate

    4 months ago

    Mumbai, Maharashtra, India MoSahay Associate Full time

    The **Guest Service Associate (GSA)** is responsible for providing exceptional customer service to guests, ensuring their stay is memorable and pleasant. The GSA will handle all aspects of guest check-in and check-out, answer inquiries, and manage reservations. A background in hotel management is essential to understand the operational and service-oriented...

  • Compliance Associate

    3 months ago

    Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Marketing Review) The Research and Marketing materials Quality Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements, and will assist in review, create Fact sheets and marketing materials ensuring compliance with local regulatory...

  • Associate - Compliance

    4 months ago

    Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Monitoring, Surveillance & Reporting) - IN The role assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues...

  • Associate - Sanctions Compliance (Legal)

    1 month ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

  • Compliance Audit Associate

    4 months ago

    Mumbai, Maharashtra, India Third Bridge Full time

    **Company Description** Company Overview** Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world’s top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human...

  • Associate Ecc Compliance

    3 months ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Compliance Associate

    4 months ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Associate - Financial Crime Compliance

    3 weeks ago

    Mumbai, Maharashtra, India BlackRock Investments Full time

    **Associate - Financial Crime Compliance**: **Location**: **Mumbai, Maharashtra** Category: **Compliance** Job Requisition #**:R245437** Date posted**:Sep. 05, 2024

  • Ecc Compliance Associate

    3 months ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Sanctions Compliance

    4 months ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Information Security and Compliance Associate

    3 months ago

    Mumbai, Maharashtra, India Datavail Full time

    **Job Title: Information Security and Compliance Associate** **Education: Any Degree** **Location: Mumbai** **Experience: 0 -1 year** **Key Skills: ISMS, PIMS, CISA, ISO 27001:2022 LI/LA, ISO 27701:2019 LI / LA and PCI DSS** Information Security and Compliance Associate Reports to Sr. Director of Information Security. Information Security and Compliance...

  • Compliance Associate

    1 month ago

    Mumbai, Maharashtra, India Susquehanna International Group Full time

    Susquehanna International Group (SIG) is a global quantitative trading firm founded in the USA in 1987 on a platform of intellectual curiosity. We bring together the brightest minds, cutting-edge technology, and expansive sets of data to solve incredibly challenging problems. **What we're looking for** If you join us, you will: - Support trading activity...

  • Associate - Gst Compliance

    3 months ago

    Mulund West, Mumbai, Maharashtra, India APMH Full time

    **About the role**:As a GST Associate at APMH & Associates LLP, you will support GST audit engagements and ensure compliance with GST laws under the guidance of senior team members. You will conduct research, assist in staying updated on GST regulations, and provide support to clients and internal teams. This role offers valuable learning opportunities,...

  • Mumbai Compliance Associate

    3 months ago

    Mumbai, Maharashtra, India Guidepoint Full time

    **Overview** The Compliance Department is a collaborative team that proactively supports Guidepoint's global business. The team identifies and addresses areas of risk and advises internal stakeholders on new business initiatives and variations on existing products and conducts compliance training of internal employees. These efforts have created a premier...

  • Associate Compliance-regulatory Relationship

    4 months ago

    Mumbai, Maharashtra, India IDFC FIRST Bank Full time

    **Job Title**: Associate Compliance **Function/ Department**: Compliance **Job Purpose**: The role entails the responsibility to support Compliance Manager in ensuring bank's policies and procedures comply with regulatory and ethical standards. **Roles & Responsibilities**: Support all business operations relating to compliance including policies,...

  • Compliance Mortgage Associate

    3 months ago

    Mumbai, Maharashtra, India Blenheim Chalcot India Full time

    **Compliance Associate**: **About Blenheim Chalcot** Blenheim Chalcot is the UK's leading digital venture builder. We invest more than just funds, we invest our knowledge and experience, our ideas and infrastructure. Our ventures are at the forefront of a multitude of industries being disrupted digitally, including FinTech, EdTech, GovTech, Media, Sport,...

  • Information Security and Compliance Associate

    3 months ago

    Mumbai, Maharashtra, India Datavail Full time

    **Job Title: Information Security and Compliance Analyst** **Education: Any Degree** **Location: Mumbai** **Experience: 0 -1 year** **Key Skills: ISMS, PIMS, CISA, ISO 27001:2022 LI/LA, ISO 27701:2019 LI / LA and PCI DSS** Information Security and Compliance Associate Reports to Sr. Director of Information Security. Information Security and Compliance...

  • Tax and Accounts Associate

    4 months ago

    Baner, Pune, Maharashtra, India Rahul Dang & Associate Full time

    Role Description for Tax And Accounts Associate 1. Closing of Statutory Audit, Tax Audit, and GST audit of clients independently and with the support of seniors wherever required 2. Handling Direct and indirect Taxation work of clients independently 3. Handling TDS & and advance tax Compliance work independently 4. Transactional Advisory work. 5....

  • Rwpss Privacy Compliance Associate

    3 weeks ago

    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

  • Rwpss Risk

    3 weeks ago

    Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Monitoring, Surveillance & Reporting) - IN The role assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues...