Associate, Compliance

3 months ago

Mumbai Maharashtra, India Ares Management Full time

It's fun to work in a company where people truly BELIEVE in what they're doing
- We're committed to bringing passion and customer focus to the business._

Job Description

Key Responsibilities / Duties:

- Assist in the monitoring and follow-up with employees to ensure timely completion of required trainings, certifications and submissions of required records
- Assist in the day-to-day reconciliation process of employee investment accounts, holdings and transactions and ensure appropriate reporting is established
- Assist the U.S. team on the on-boarding and off-boarding of employees
- Review, analyze and escalate potential personal trading exceptions and cases
- Provide high level client service to employees across the global enterprise to ensure timely submissions of investment account records and required certifications;
- Escalate issues effectively and on a timely basis to the appropriate levels of management
- Maintain, track and report key performance indicators/metrics for Corporate Compliance as assigned
- Assist in Corporate Compliance related projects and initiatives

Working Timings:
Work Experience / Knowledge:
0-3 years of work experience with knowledge on Finance and keen interest to learn regulatory compliance as it pertains to investment advisers and investment companies. Knowledge of financial products will be added advantage.

Required skill sets:

- Ability to understand the processes with clarity
- Strong analytical skills
- Meticulous attention to detail
- Excellent written, verbal and interpersonal skills
- Open to work flexible hours
- Team player

Formal Education:
B. Com / M. Com / MBA / CA /Degree in Commerce/Finance

Job Description for Analyst - Corporate Compliance

About Business line:
The Ares Compliance Department oversees and manages Ares’ global regulatory compliance and ethics program. Under the leadership of the Global Chief Compliance Officer, the Compliance Department is comprised of functionally and business-aligned teams that operate collaboratively based on the Firm’s overall structure: Regulatory & Marketing, which oversees implementation of investment management policies across all of Ares’ regulated entities and business lines, including global marketing and investor relations; Trading & Conflicts, which oversees transactional and conflict management teams; Corporate Compliance, which administers global policies and central compliance functions, including operation of the Code of Conduct and testing of the compliance program; AML-CTF, which develops and administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations, which prepares or oversees regulatory filings and oversees the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives.

Key Responsibilities / Duties:

- Assist with the monitoring, reviewing and escalation of employee electronic communication messages including surveillance
- Assist with process creation and implementation of new and/or enhanced surveillance reviews and processes
- Provide high level client service to employees across the global enterprise
- Gather, sort, investigate and resolve or escalate any discrepancies or exceptions
- Gather, sort and analyze data to conduct forensic, periodic, and transactional testing
- Maintain, track and report key performance indicators/metrics for Corporate Compliance as assigned
- Assist in Corporate Compliance related projects and initiatives

Working Timings:
Work Experience / Knowledge:
0-3 years of work experience with knowledge on Finance and keen interest to learn regulatory compliance as it pertains to investment advisers and investment companies. Knowledge of financial products will be added advantage.

Required skill sets:

- Ability to understand the processes with clarity
- Strong analytical skills
- Meticulous attention to detail
- Excellent written, verbal and interpersonal skills
- Open to work flexible hours
- Team player

Formal Education:
B. Com / M. Com / MBA / CA /Degree in Commerce/Finance

Reporting Relationships

Managing Director, Compliance

Qualifications
- If you like wild growth and working with happy, enthusiastic over-achievers, you'll enjoy your career with us__

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