Associate Vice President - Compliance Officer

Associate Vice President, Compliance Officer - Gift City

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

• Manage all aspects of the Compliances of FME entity in GIFT City including compliance with IFSCA (Fund Management) Regulations, circulars, and guidelines applicable to FMEs and schemes.

• Act as a primary point of contact with the IFSCA for all regulatory matters, inspections, and correspondence
• Handle regulatory filings for the GIFT City entity to be filed with the IFSCA and other relevant regulators including disclosure documents for new products.
• Maintain and update compliance policies, and procedures and ensuring compliance with relevant Ares global and regional internal processes and policies.
• Identify and keep abreast on all compliance requirements for FME entity and schemes. Identify, advise on and assist in the implementation of regulatory change.
• Undertake compliance control functions and compliance monitoring programs, as appropriate, including the development of trackers and reports to confirm compliance.
• Provide compliance training to the GIFT City employees and other Ares employees engaging with the GIFT City entity.
• Provide compliance support for other Ares business in India including on the above matters.
  

LOCATION
This role is to be based in Gujarat International Finance (GIFT) City, Gujarat. India. Ares may consider hiring a candidate from outside of GIFT City who is willing to relocate to the GIFT City. Once based in GIFT City, the employee must comply with the GIFT City Special Economic Zone rules relating to domicile.

QUALIFICATIONS
Education:
• Professional qualifications such as LLB, CA, CS, CFA, or equivalent preferred

Experience Required:
• At least 9-13 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 IFSCA/ SEBI 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 Relationships

Vice President, APAC 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.

Experience Level

Mid Level