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Associate Corporate Compliance role at Ares in Mumbai – administer Code of Ethics, support compliance training and employee onboarding.
Mid-level position requiring 2-4 years in financial services, strong SEC knowledge, and Microsoft Office proficiency.
Job Description
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 Essential Responsibilities
- Support the administering of the Code of Ethics;
- Regularly respond to inquiries relating to gifts & entertainment and collaborate with cross-functional teams, including screening lists of invitees to Ares events
- Review gifts & entertainment testing items and remediate as necessary;
- Assist in processing and escalating pre-clearance requests related to business gifts and entertainment, employee outside business activity and political contributions;
- 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 elevate as appropriate for further analysis to address root cause assessment;
- Act as 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 Compliance program;
- Help maintain, track and report key performance indicators/metrics for the team as assigned; and
- Assist with intake requests for record retention and data management.
Education
- Bachelor’s degree preferred
- Compliance Certificate considered a plus
Experience Required
- 2 to 4 years of compliance experience within the financial services industry
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
General Requirements and Personal 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 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 Comply or Salesforce would be an added advantage.
Reporting Relationships
Associate, Compliance
Application Details
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.