Associate, Compliance

2 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 responsibilities

The Analyst will play a significant role in execution and supervision of the Investor KYC Process in line with AML-CTF Program requirements, inclusive of jurisdictional requirements and third-party fund administrator guidelines. The Analyst will be primarily responsible for review and analysis of investor KYC documentation and screening results, with additional involvement in investor KYC remediation in accordance with relevant jurisdictional requirements.

Specific responsibilities will include but are not limited to:

- Creation of investor KYC folders, along with various entity, fund commitment, and other sub-folders
- Recording of investors on individual fund trackers with data points relating to investing entity name, fund/vehicle selection, commitment amounts, investor domicile, etc.
- Transmittal of KYC documents to fund administrators via dedicated portal to facilitate admin set up of ticketed investor reviews
- Preparation and set up of KYC Review tickets in Teams for US team members
- Updating the fund trackers with the ticket numbers and risk rating received from the admins.
- Maintenance and transmittal of daily log of incoming documents, new tickets, additional documents, refresh documents, tax forms, etc.
- Completion and uploading of Name Screening batch templates
- First line review and clearance of screening alerts and adherence to escalation protocols with such alerts, as needed
- Assist in compilation of KPIs and other metrics for projects and reports, as needed.
- Assist the senior team members with ad hoc projects such as UAT, etc.

Qualifications

Education:

- Bachelor’s Degree

Experience Required:

- 3-6 years of relevant financial services compliance experience; previous AML-CTF responsibilities a plus preferred
- Proficient in Microsoft Office Suite.

General Requirements:

- Strong attention to detail, highly organized and process-driven; high accuracy
- A self-directed individual with a can-do attitude, willing to work in an energetic, collaborative, and fast-paced environment, proactive in nature, and a proven ability to resolve issues with mínimal supervision
- Self-starter with strong time management and prioritization skills; ability to work under tight deadlines in a fast-paced environment; results and solutions-oriented
- Ability to successfully manage multiple complex, time sensitive priorities and competing demands with multiple stakeholders by leveraging a hands-on approach
- Proven outstanding communication (written and verbal), presentation, documentation, and interpersonal skills
- Strong sense of ownership and accountability; demonstrates sound judgment and decision-making
- Good judgment in terms of escalating issues vs. solving problems independently
- Ability to be flexible in terms of hours to coordinate with team members across various time zones
- Dependable, great attitude, highly motivated and a team player

Reporting Relationships

Associate Vice President, Compliance

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