Associate, Regulatory Reporting

Ares · Banking & Financial Services

Mumbai, India
On-site
Posted today
Legal & Compliance

About the job

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 & responsibilities

Specific responsibilities include, but are not limited to:

Work closely with colleagues in the Regulatory Reporting team with respect to regulatory submissions to regulatory bodies such as the SEC, CFTC, FRB, and other US and foreign regulators.

Assist in the development, implementation, and documentation of standardized workflows and controls supporting the Regulatory Reporting filing preparation, review, submission, and retention processes.

Assist in the continuous assessment and testing of the Firm’s global regulatory reporting risks and controls in accordance with regulatory requirements, best practices, and industry guidance.

Work collaboratively with cross-functional members of the Firm’s global Finance & Accounting, Investment Operations, Legal, and Technology departments.

Assist the Regulatory Reporting team in coordinating with members of the global Compliance team to drive efficiency across data provided to regulators in all jurisdictions.

Keep current on evolving laws and regulations and stay abreast of best practices and industry guidance.

Assist with ad hoc projects, assignments, and initiatives.

Qualifications

Education/Skills:

Bachelor’s Degree required.

Proficiency in Microsoft Office Suite .

Familiarity with Power Apps a plus.

Experience Required:

3-5 years of experience with direct experience in investment advisory compliance, regulatory reporting, financial reporting, or similar global compliance roles in an investment management setting.

Knowledge of regulatory requirements, including experience working with, Form ADV, Form PF, CFTC/NFA and beneficial ownership reporting.

Experience working with technology development teams and other stakeholders to pursue ongoing process automation and technology enhancements.

Ability to extract meaningful information from research and keep abreast of industry and regulatory developments. Applying knowledge of investment concepts to ensure accurate regulatory filings.

General Requirements:

Strong time management and prioritization skills; results orientation; and an ability to work under tight deadlines in a fast-paced environment.

Exceptional attention to detail, analytical skills, highly organized and process-driven; high accuracy.

A self-directed individual with a can-do attitude, willing to work in an energetic, collaborative, and fast-paced environment, proactive in nature, and a proven ability to resolve issues with minimal supervision.

Outstanding written and verbal communication skills, with the ability to effectively present complex concepts in a manner that is appropriately calibrated to audiences with different perspectives and levels of familiarity.

Strong sense of ownership and accountability; demonstrates good problem-solving skills and judgment in terms of escalating issues vs. solving problems independently.

A solutions-oriented, self-starter, with an ability to see the big picture.

Ability to be flexible in terms of hours to coordinate with team members across various time zones.

Dependable, great attitude, highly motivated and a team player.

Reporting Relationships

Senior Associate, Investment Adviser 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.

Apply on Ares