Associate, Compliance

4 days 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 ESSENTIAL RESPONSIBILITIES- Support the administering of the Corporate Compliance polices, including Code of Ethics and Conduct and Anti-Corruption policies;
- On a daily basis, respond to inquiries relating to gifts & entertainment, and screen lists of invitees to Ares-sponsored events;
- Assist in processing and escalating Code of Conduct and Anti-Corruption matters including pre-clearance of business gifts and entertainment and political contributions as well as Conflict of Interest policy matters such as employee outside business activity requests;
- Support the onboarding of new employees into our Compliance program including, i) new hire access activation; ii) new hire training and disclosure form tracking; iii) tracking current employee statuses for certifications/access maintenance; and iv) tracking temporary workers;
- Support offboarding process for terminated employees;
- Assist in the creation and delivery of training materials to staff members;
- Participate in Compliance program initiatives, projects, etc. beyond core responsibilities;
- Utilize compliance system technology to leverage information sharing and enable collaboration;
- Identify exceptions to policies and escalate as appropriate for further analysis to address root cause assessment;
- Be a daily resource to Ares’ global employee base on compliance questions and issues;
- Help maintain internal procedures and training materials that are critical to the effectiveness and continuity of the Ares Corporate Compliance program;
- Help maintain, track and report key performance indicators/metrics for Corporate Compliance team as assigned; and
- Assist with intake requests for record retention and data management.
- QUALIFICATIONS- Education:
- Bachelor’s degree preferred
- Compliance Certificate considered a plus
- Work Experience / Knowledge:
- 2 to 4 years of compliance and/or paralegal experience within the financial services industry
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
- General Requirements:
- 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 ability to adapt to changing business priorities and emerging technologies;
- Invested in own personal development;
- Consistently pursues client experience excellence; and,
- Familiarity with Compliance trading and CRM systems such as StarCompliance, ComplianceAlpha or Salesforce would be an added advantage.

Reporting Relationships

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