Sr. Associate/ AVP, India Compliance

3050 Ares Management Asia (India) Private Limited; Mumbai; On-site; INR 4,000,000 - 7,000,000; Full time

Job summary

Ares Management LLC is seeking a senior Compliance professional to lead the India Compliance program for its Mumbai-based Investment Office. The role focuses on regulatory oversight, governance, and advisory support across local and global requirements.

You will work with investment, legal, operations, and risk teams to ensure robust compliance, training delivery, and proactive risk mitigation in line with firm standards and Indian regulations.

Qualifications

• Bachelor’s degree required; professional qualifications such as LLB, CA, CS, CFA, or equivalent preferred.
• 7–13 years of experience in a compliance role in a regulated financial institution, preferably with asset management exposure.
• Solid understanding of Indian financial industry practices and regulatory reporting requirements.
• Experience liaising with regulators such as SEBI/RBI and with investment associations.

Responsibilities

• Oversee and administer the Compliance Program for Ares Investment Office in Mumbai.
• Provide proactive compliance guidance on global and local laws, policies, and procedures.
• Lead monitoring, surveillance, and implementation of new regulatory requirements and governance enhancements.
• Coordinate regulator communications, examinations, audits, and inquiries; ensure timely resolution of regulatory matters.
• Advise on SEBI/RBI requirements and FPIs, KYC/onboarding, and regulatory reporting in India.

Education

Bachelor’s Degree

LLB

CA

CS

CFA

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

undefined Oversee and administer the Compliance Program for Ares Investment Office in Mumbai, ensuring adherence to all applicable regulatory requirements, firm standards, and internal governance expectations.

undefined This includes supporting Code of Ethics-related matters, delivering compliance training, and conducting ongoing monitoring and surveillance activities.

undefined Provide proactive compliance advice and guidance on applicable global and local laws, regulations, policies, and procedures.

undefined Monitor and assess regulatory developments, emerging compliance risks, and industry trends, and lead the implementation of new regulatory requirements, internal policy initiatives, and enhancements to governance, risk management, and cybersecurity frameworks.

undefined Develop, implement, maintain, and enforce compliance policies, procedures, and controls for India operations, including ensuring compliance with SEBI Alternative Investment Fund (AIF) Regulations, SEBI Foreign Portfolio Investor (FPI) Regulations, RBI requirements, and other applicable regulatory obligations.

undefined Provide practical compliance advice to the business on FPI-related matters, including beneficial ownership (UBO) declarations, KYC and onboarding requirements, end-use of investment proceeds, investment and concentration limits, eligible instruments, reporting obligations, and other regulatory requirements applicable to investments in India, while ensuring alignment with firm standards and industry best practices.

undefined Lead and coordinate comprehensive investment compliance reviews for India credit transactions, including assessments relating to reputational due diligence, anti-bribery and corruption (FCPA), AML/KYC requirements, sanctions screening, conflicts of interest, and other applicable regulatory and firm requirements.

undefined Serve as the primary compliance liaison with regulators and auditors, coordinating regulatory communications, examinations, inspections, audits, and inquiries, and ensuring timely and effective resolution of regulatory matters.

undefined Partner closely with investment, legal, operations, risk, and other business teams to provide practical compliance advice throughout the investment lifecycle, including the structuring and execution of India debt investments through FPIs, identifying regulatory risks, advising on SEBI and RBI requirements, and implementing appropriate controls and risk mitigation measures to support ongoing regulatory compliance.

LOCATION

This role is to be based in Mumbai BKC.

QUALIFICATIONS

Education: • Bachelor’s Degree required (minimum 2 years in duration). Professional qualifications such as LLB, CA, CS, CFA, or equivalent preferred

• At least 7-13 years of experience working in a compliance role in a regulated financial institution, preferably with experience in asset management products.
• Solid understanding of Indian financial industry practices.
• Proven experience in establishing and maintaining a strong and effective relationship and communication with regulatory bodies like SEBI/ RBI or other Indian regulators and within investment associations.
• Experience in the filing of various regulatory reports.

General Requirements

• Self-motivated, highly detail oriented, display good judgment and logical decision making apart from highly developed technical skills.
• Excellent communication and organizational skills, strong motivational drive and proactive in delivering to the needs of the business.
• High degree of fluency in English, with the ability to interpret regulations in English and regular communication with people from all teams.
• Proactive management approach, including effective upward management
• Strong interpersonal skills and excellent team orientation
• Have strong sense of ownership spirit, and able to work independently.
• Possess multi-tasking skills and ability to work well under pressure and in a fast-paced environment.
• Basic understanding in the financial statements of financial instruments business operators

Reporting to: Head of India Compliance Reporting Relationships Managing Director, Head of APAC Compliance

Ares Management Corporation (NYSE: ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit, real estate, private equity and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups, we aim to generate consistent and attractive investment returns throughout market cycles. As of June 30, 2026, Ares Management's global platform had approximately $671 billion of assets under management(1) with more than 4,400 employees operating across North America, South America, Europe, Asia Pacific and the Middle East. For more information, please visit www.aresmgmt.com.

Ares Management LLC (together with its related operating and administrative subsidiaries, “Ares Management”) is an Equal Employment Opportunity employer and considers all applicants for employment without regard to race, color, religion, ethnicity, creed, sex, age, national origin, alienage or citizenship status, disability, medical condition, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, transgender status, genetic information, status as unemployed, political affiliation or any other characteristic protected by federal, state or local law. Ares Management will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance. (1) As of June 30, 2026. AUM amounts include funds managed by Ivy Hill Asset Management, LP., a wholly owned portfolio company of Ares Capital Corporation and registered investment adviser.