Associate, Compliance (Testing and Surveillance)

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

• Conducting forensic, periodic, and transactional testing to ensure adherence to firm compliance and ethics policies.
• Performing testing of electronic communication messages, social media posts, preclearance of business gifts, business entertainment, outside business activities and political contributions, trade errors, and other compliance policies
• Assisting with analysis, development, and implementation of new and/or enhanced surveillance reviews and processes
• Collaborating with the business and reporting on the progress of corrective action plans
• Maintaining, tracking, and reporting key performance indicators/metrics for Corporate Compliance as assigned.
• Providing high level client service to employees across the global enterprise

QUALIFICATIONS
Education:

• B. Com / M. Com / MBA / CA /Degree in Commerce/Finance
• Work Experience / Knowledge:
• 3 - 6 years of work experience in Corporate Compliance and regulatory environment. Knowledge of financial products is an added advantage.
• General Requirements:
   
• Ability to learn quickly and understand the processes with clarity.
• Strong analytical skills
• Meticulous attention to detail
• Strong analytical skills
• Excellent written, verbal and interpersonal skills
• Open to work flexible hours
• Self-starter who enjoys a team-oriented and collaborative approach
• Proficiency on MS Office suite of applications
• Familiarity with trading systems and compliance systems such as Star Compliance, Global Relay, OMS, Bloomberg is an added advantage

Reporting Relationships

Senior Associate, 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 Applications will be accepted on an ongoing basis until the search is no longer active.