Associate Corporate Compliance, Code of Ethics

Ares Management; Mumbai; On-site; INR 900,000 - 1,200,000; Full time

Job summary

Ares Management is seeking a Compliance Associate to support the company's ethics program in Mumbai. You will handle gifts and entertainment inquiries, assist with pre-clearance processes, and help onboard and offboard employees into the Compliance program.

The role requires 2–4 years in financial services compliance and strong MS Office skills. Ideal candidates bring regulatory knowledge, analytical thinking, and excellent communication abilities to collaborate across teams.

Qualifications

• 2–4 years of compliance experience in financial services.
• Bachelor’s degree preferred; Compliance certificate is a plus.
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint).
• Strong written, verbal and interpersonal skills; analytical mindset.

Responsibilities

• Support administering the Code of Ethics and respond to inquiries related to gifts and entertainment.
• Review testing items and remediate as necessary; assist in processing pre-clearance requests.
• Assist onboarding of new employees into the Compliance program and tracking certifications.
• Support offboarding, training material delivery, and ongoing compliance initiatives.
• Maintain compliance system data, track KPIs, and escalate exceptions for root-cause analysis.
• Provide daily guidance to Ares’ global employee base on compliance questions.

Skills

Regulatory knowledge

Analytical thinking

Interpersonal skills

Team collaboration

Education

Bachelor’s degree

Compliance Certificate

Tools

Excel

Word

PowerPoint

Microsoft Office

Salesforce

Job description

Job Description

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 escalation 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;
• Assist with intake requests for record retention and data management.

Qualifications

• 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