Compliance Associate Job in Mumbai at Ares Management

Ares is hiring for the role of Compliance Associate!

Responsibilities:

• Ensure all tasks related to Investment Compliance are completed on a timely basis
• Perform daily review of portfolio transactions and monitor compliance investment guidelines as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. Investment Compliance, Portfolio Manager, etc.) to ensure proper rectification
• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
• Oversee data analysis with respect to regulatory filings (i.e. Form 13H large trade reporting)
• Monitor upcoming IPO calendar and report findings to Investment Compliance
• Assist with ongoing drafting and review of Standard Operation Procedures to ensure best practices are in place
• Prepare and Review Weekly/Bi-Weekly/Monthly/Quarterly status reports to share with Investment Compliance team
• Conduct periodic forensic and transactional testing
• Assist in monitoring third party Agency Data Workspaces to ensure the Firm is in compliance with respect to public/private declarations
• Interact with members of regional compliance teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing and related controls
• Assist in the processing of employees’ personal trade requests in accordance with the Firm’s policy and standard operating procedure
• Assist in Compliance related projects, ad-hoc requests and new initiatives
• Train new hires
• Assist the team as needed and build a cohesive environment within the team

Requirements:

• Ability to understand the processes with clarity
• Understand the fundamentals of Compliance
• Good analytical skills
• Attention to detail
• Good interpersonal skills
• Good relationship management skills
• Good written and verbal communication skills
• Work as a team player
• Open to work flexible hours
• Proficiency on MS Office suite of applications
• Familiarity with trading systems and compliance components such as Black Mountain Everest, Advent Geneva, Salesforce, Bloomberg would be an added advantage