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 The new Associate will play a key role in support of Ares compliance with marketing materials policies Specific responsibilities will include Provide primary compliance marketing review support of marketing materials and business communications including DDQs RFPs webinars quarterly and annual reports to ensure compliance with regulatory guidance and Ares Marketing and Advertising policy Communicate issues and escalate as needed with Compliance Leadership Monitor all submissions of materials in timely fashion and ensure high quality and timely reviews Assist with marketing review system administration including onboarding training workflow management problem solving etc Assist with projects and initiatives Stay abreast of SEC and Ares guidance regarding financial communications and related global regulatory guidelines and updates Assist with developing revising and implementing automation processes regarding marketing review activities and regulatory developments Qualifications Education Bachelor s Degree from an accredited university or international equivalent required JD or other advanced degree considered a plus Experience Required 3-7 years of financial services compliance experience with a strong preference on review of marketing materials for institutional and alternative products Knowledge of global asset management legal and regulatory compliance risk management and industry policy best practices Working knowledge of or familiarity with regulatory requirements globally Working knowledge understanding of the investment adviser industry and U S and global securities laws General Requirements Strong sense of ownership and accountability with a process orientation Ability to take direction work as a team and work independently High accuracy and extremely detail-oriented Ability to multi-task and prioritize deadlines results-oriented Ability to remain flexible and responsive as roles and duties shift Excellent communication skills and client-service orientation Experience and ability to proactively identify and analyze problem situations to develop an effective course of action for resolution Proficient in Microsoft Office Suite Word Excel PowerPoint Experience with Red Oak AdMaster a plus Ability to manage challenging workflow in-fast paced dynamic organization managing multiple assignments in a deadline driven environment Excellent organizational skills demonstrated ability to manage competing priorities and lead large scale projects to completion Reporting Relationships Principal Compliance There is no set deadline to apply for this job chance Applications will be accepted on an ongoing basis until the search is no longer active

📌 Associate, Marketing And Distribution (compliance) (Mumbai)
🏢 Ares Wealth Management Solutions
📍 Mumbai