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 Bloomberg
Advanced Excel
Project Management
Time Management
Soft Skills:
Strong interpersonal, relationship-building and negotiation skills
Anticipates potential issues/opportunities and takes proactive measures
Excellent verbal and written skills
High level of intellectual curiosity
Collaborative team player
Comfortable in a fast-paced environment and managing multiple tasks at once
Ability to manage up
Analytical
Driven and self-directed
Highly organized
Ability to communicate effectively with all levels of management
Diplomacy
Client service oriented
Ability to see "big picture"
Positive attitude
Effective at conflict management
Sound judgment and able to act with discretion, particularly regarding confidential matters
Education: B
Additional Information
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
The 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 programs
Ares 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 relationships
Reports to: Vice President, Conflicts Management and Trade Surveillance Compliance
Supervises: N/A
Primary functions & responsibilities
Oversee the daily review of firm-wide trading activities, including relevant conflicts checks related to deals and the firm's restricted and other conflicts monitoring lists
Assist with portfolio compliance requirements related to trading for accounts
Facilitate the cross/principal transaction process in partnership with various stakeholders
Advise the CLO management team on compliance questions related to structuring and the redemption process
Advise investment teams with respect to ad hoc committee participation and attendant controls
Facilitate pre-trade controls related to 3rd party CLO investing
Assist with the oversight of trade allocations
Manage the best execution/ approved broker/ trade error/ cancel and correct processes with respect to firm trading
Update and maintain Compliance policies and procedures
Oversee the trading compliance technology suite and partner with IT and data teams to ensure proper data coverage
Demonstrate a strong understanding of issuer/borrower hierarchy, loan sales and trading/quotes, and research via Bloomberg
Partner with the Control Room team to ensure proper operation of the Compliance trading program
Oversee and analyze reporting and analytics generated by offshore team
Perform internal process reviews and quality checks
Support and initiate special projects and tasks as required
Escalate issues effectively and on a timely basis to the appropriate levels of management
Participate in ongoing technological enhancements for the benefit of the Compliance department
Assist with the global testing program
Ares Management · New York, NY