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 DescriptionThe Ares Compliance Department oversees and manages Ares’ global regulatory compliance and ethics program. Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance Department is comprised of functionally and business-aligned teams that operate collaboratively based on the Firm’s overall structure: Investment Adviser Compliance, which oversees implementation of global policies and procedures as well as Regulatory Reporting and Compliance testing; Marketing & Distribution Compliance, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Regulated Funds Compliance, which oversees the compliance for advised and sub-advised registered funds and public companies; Information Management and Trade Surveillance Compliance, which administers the Code of Ethics, Control Room and trade surveillance program; Financial Crime Prevention, which administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives; and the EMEA and APAC-based Compliance programsAres is seeking a knowledgeable, highly organized, and proactive Associate to join our Information Management and Trade Surveillance Compliance team focused on conflicts management with respect to firm trading and investing. This Vice President will actively participate in the management of daily processes, support departmental and team projects and build relationships with employees across the enterprise while ensuring compliance obligations are met.Reporting relationshipsReports to: Principal, Trade and Conflicts ComplianceSupervises: TBDPrimary functions & responsibilitiesOversee the daily review of firm-wide trading activities, including relevant conflicts checks related to deals and the firm’s restricted and other conflicts monitoring listsAssist with portfolio compliance requirements related to trading for accountsFacilitate the cross/principal transaction process in partnership with various stakeholdersAdvise the CLO management team on compliance questions related to structuring and the redemption processAdvise investment teams with respect to ad hoc committee participation and attendant controlsFacilitate pre-trade controls related to 3rd party CLO investingAssist with the oversight of trade allocationsManage the best execution/ approved broker/ trade error/ cancel and correct processes with respect to firm tradingUpdate and maintain Compliance policies and proceduresOversee the trading compliance technology suite and partner with IT and data teams to ensure proper data coverageDemonstrate a strong understanding of issuer/borrower hierarchy, loan sales and trading/quotes, and research via BloombergPartner with the Control Room team to ensure proper operation of the Compliance trading programOversee and analyze reporting and analytics generated by offshore teamPerform internal process reviews and quality checksSupport and initiate special projects and tasks as requiredEscalate issues effectively and on a timely basis to the appropriate levels of managementParticipate in ongoing technological enhancements for the benefit of the Compliance departmentAssist with the global testing programQualificationsTech Skills:Working knowledge of financial instruments including but not limited to: alternative and structured products, bank loans, high yield debt, equities, and real assets.Knowledge of BloombergAdvanced ExcelProject ManagementTime ManagementSoft Skills:Strong interpersonal, relationship-building and negotiation skillsAnticipates potential issues/opportunities and takes proactive measuresExcellent verbal and written skillsHigh level of intellectual curiosityCollaborative team playerComfortable in a fast-paced environment and managing multiple tasks at onceAbility to manage upAnalyticalDriven and self-directedHighly organizedAbility to communicate effectively with all levels of managementDiplomacyClient service orientedAbility to see “big picture”Positive attitudeEffective at conflict managementSound judgment and able to act with discretion, particularly regarding confidential mattersEducation: Bachelor’s Degree RequiredExperience Required:7+ years of experience at a global investment adviser or investment bank - Control Room and/or conflicts management experience requiredExperience with credit-based strategies, including private equity, private debt and equity, and capital markets activitiesFamiliarity with SEC regulatory review and interpretation of regulationsAnalytical report generation/creationAbility to work independently and interact effectively with all levels of managementOrganizational skills and demonstrated ability to manage competing prioritiesExperience partnering successfully with business and investment colleagues and aptitude for working effectively in a large organization and with institutional clientsAbility to maintain a professional demeanor in both routine and highly charged environments adapt responses appropriately to each situationExperience working with an offshore service provider considered a plusMaintain a strong commitment to quality and attention to detail, ensuring that the work product is delivered completed, accurately and on-timeReporting RelationshipsCompensationThe anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.$145,000-$185,000The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.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.
