Senior Compliance Officer, India

1 month ago

Mumbai, Maharashtra, India Ares Management Corporation Full time
Job Summary

As a key member of the Ares Management Corporation team, the Vice President, India Compliance will be responsible for overseeing and administering the Regulatory and Compliance program for Ares offices in India. This role requires a strong understanding of regulatory policies and procedures, as well as the ability to provide consistent and ongoing Compliance guidance to the client group.

Key Responsibilities
  • Develop and implement effective Compliance policies and procedures in accordance with applicable regional laws and regulations.
  • Stay abreast of legal and regulatory developments, researching and determining the impact of new or revised laws and regulations on the firm's business.
  • Manage, coordinate, and conduct comprehensive Investment Compliance periodic reviews, annual reviews, and assessments for other Ares offices in APAC.
  • Serve as a primary point of contact and coordinate all regulatory communications regarding the Compliance program for the India region.
  • Ensure all regulatory filings are accurate and complete, providing ownership and assistance throughout the filing process.
  • Assist the Head of Compliance for APAC and Chief Regulatory Officer in regulatory examinations and investigations, as appropriate.
  • Assist in creating and developing a high-performing and efficient Compliance team within the region.
  • Work with other leaders throughout the team to help drive a positive culture of accountability amongst department leaders, stakeholders, and within the internal Compliance team.
  • In partnership with senior Compliance professionals, participate in various firm risk-based committees and management meetings, as required.
Requirements
  • Bachelor's degree in Commerce, Finance, Business Administration, or a related field.
  • 15+ years of related work experience demonstrating the skills identified.
  • Background in Finance & Accounting, Business Administration, and Compliance.
  • Strong knowledge of financial products.
  • Experience working with global teams based out of US and APAC preferred.
  • Experience in private funds, asset management/buy-side firms preferred.
Desirable Skills
  • Ability to successfully manage multiple complex, time-sensitive priorities and competing demands with multiple stakeholders by leveraging a hands-on approach.
  • Strong work ethics, time management, and prioritization skills; ability to work under tight deadlines in a fast-paced environment; results-oriented.
  • Strong attention to detail, highly organized, and process-driven; high accuracy.
  • Ability to extract meaningful information from extensive research and analysis to effectively present facts and findings in a digestible format, a keen eye for attention to detail.
  • 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 minimal supervision.
  • Proven outstanding communication (written and verbal), presentation, documentation, and interpersonal skills.
  • Strong sense of ownership and accountability; demonstrates sound judgment and decision-making.
  • An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes.
  • A hands-on approach and ability to synthesize business operations and talent needs.
  • Good judgment in terms of escalating issues vs. solving problems independently.
  • A solutions-oriented, self-starter, and ability to see the big picture.
  • Comfort in dealing with ambiguity and uncertainty in a dynamic and fast-paced environment.
  • 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.

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