Associate, Compliance

6 months ago

Mumbai, India Ares Management Corporation Full time

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:

Daily detailed review of incoming e-mails from both external parties and internal stakeholders for investor KYC documentation Identify incoming KYC documentation provided via e-mail attachments, secure transmittals or links Creation of investor KYC folders, along with various entity, fund commitment, and other sub-folders Process incoming KYC documentation provided via e-mail, links to file portals (e.g., DropBox), or secure messaging transmittal portals. Such processing includes downloading, segregating consolidated PDFs to individual documents, classifying and categorizing of documents in accordance with naming conventions. 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 minimal 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

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.

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