Associate, Compliance

2 weeks 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 responsibilities
- Conducting period reviews of existing customers, to confirm the information on file, reconfirm customers ownership structure, conduct PEP/negative news and sanctions check to ensure KYC completeness, accuracy and quality/readiness.
- Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
- Create Standard Operating Procedures for all the processes related to AML/KYC
- Timely escalation of breaches and ensure remediation measures are put in place
- Getting cross trained on various Compliance functions.
- Analysis of available data, deriving patterns and trends for reporting to Senior Management
- Process innovation and improvisation and creating robust controls in place
- Help the team in preparing monthly metrics report to share with senior management
- Collaborate with Global Compliance team effectively, identifying process gaps and ensure these gaps are closed on a timely basis through knowledge transfer and required trainings
- Assist Global teams on any ad-hoc requests and projects.
- Training the new joiners within the team
- Help the team whenever needed and build a cohesive environment within the team.

**Qualifications**:
**Education**:

- B. Com / M. Com / MBA /Degree in Commerce/Finance

3-5 years of related work experience demonstrating the skills identified; preferably in in AML/KYC. Knowledge of financial products will be added advantage

Required skill sets:

- Ability to understand the processes with clarity
- Understand the fundamentals of Compliance
- Good analytical skills
- Attention to detail
- Good interpersonal skills
- Good relationship management skills
- Good written and verbal communication skills
- To demonstrate by being a good team player
- Open to work flexible hours
- Familiarity with trading systems and compliance components such as OFAC checks, Sanctions, Screening would be an added advantage

Reporting Relationships

Associate Vice President, Compliance

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