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Compliance Associate

1 month ago

Mumbai, Maharashtra, India Ares Management Corporation Full time

Job Summary

The Compliance Associate will support the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies. This role will also involve responding to inquiries, processing and escalating Code of Conduct and Anti-Corruption matters, and supporting the onboarding and offboarding of new employees.

Key Responsibilities

  • Support the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies.
  • Respond to inquiries related to gifts and entertainment, and screen lists of invitees to Ares-sponsored events.
  • Process and escalate Code of Conduct and Anti-Corruption matters, including pre-clearance of business gifts and entertainment and political contributions.
  • Support the onboarding of new employees into the Compliance program, including new hire access activation, training, and disclosure form tracking.
  • Support the offboarding process for terminated employees.
  • Assist in the creation and delivery of training materials to staff members.
  • Participate in Compliance program initiatives and projects.
  • Utilize compliance system technology to leverage information sharing and enable collaboration.
  • Identify exceptions to policies and escalate as appropriate for further analysis.
  • Be a daily resource to Ares' global employee base on compliance questions and issues.
  • Help maintain internal procedures and training materials critical to the effectiveness and continuity of the Ares Corporate Compliance program.
  • Help maintain, track, and report key performance indicators/metrics for the Corporate Compliance team as assigned.
  • Assist with intake requests for record retention and data management.

Qualifications

  • Bachelor's degree preferred.
  • Compliance Certificate considered a plus.
  • 2 to 4 years of compliance and/or paralegal experience within the financial services industry.
  • Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint).

Requirements and 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 the ability to adapt to changing business priorities and emerging technologies.
  • Invested in own personal development.
  • Consistently pursues client experience excellence.
  • Familiarity with Compliance trading and CRM systems such as StarCompliance, ComplianceAlpha, or Salesforce would be an added advantage.

Reporting Relationships

Head of Corporate Compliance

There 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.