Immediate Start: Sr. Associate, Testing And Surveillance

4 days ago

Mumbai Maharashtra, India Ares Wealth Management Solutions 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 Primary functions and responsibilities Perform and oversee ongoing compliance testing in all compliance areas including inside information and safeguarding of material non-public information code of ethics code of conduct conflicts of interest marketing and advertising Conduct electronic surveillance and review supporting documentation to prepare detailed testing workpapers that substantiate findings and outcomes Identify compliance risks and control deficiencies recommend corrective actions and enhancements based on test results Provide oversight of third-party consultants and other service providers that support testing of Compliance policies Collaborate with Compliance professionals and other internal constituents in execution of testing of Compliance policies Directly manage and provide mentorship to other team members to ensure effective performance provide leadership and development Help maintain standard operating procedures that are critical to the effectiveness and continuity of the Monitoring Testing Program Help maintain track and report key performance indicators metrics for Monitoring Testing team as assigned QualificationsEducation Bachelors degree preferred Experience Required 6 to 8 years of compliance and or paralegal experience within the financial services industry Proficiency with Microsoft Office Excel Word Teams PowerPoint General Requirements Energetic initiative-taking coachable detailed oriented and organized Ability to work in a fast-paced environment overseeing multiple testing areas demonstrating effective time task management and meeting deadlines 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 platforms such as StarCompliance ComplianceAlpha or Global Relay is an added advantage Knowledge of the investment management and private fund industry regulatory and compliance environment Strong organizational skills attention to detail knowledge and ability to direct client teams and ensure delivery of quality work product Ability to proactively establish track and achieve goals projects and tasks needed to ensure success Reporting Relationships Vice President ComplianceThere 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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