Vice President, Control Room Compliance

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.

Summary Job Description The Ares Compliance Department oversees and manages Ares’ global regulatory compliance and ethics program. Under the leadership of the Global Chief Compliance Officer, the Compliance Department is comprised of functionally and business-aligned teams that operate collaboratively based on the Firm’s overall structure: Investment Advisory, which oversees implementation of investment management, trading and conflicts policies; Marketing & Distribution, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Registered Products, which oversees the compliance for advised and sub-advised registered funds and public companies; Corporate Compliance, which administers the Code of Conduct and oversees the global testing and surveillance program; AML-CTF, which develops and administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations and Regulatory Reporting, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives.

Ares is seeking a knowledgeable, highly organized, and proactive Associate Vice President to join our Control Room Compliance team focused on information conflicts management, monitoring list administration, and trade and investment clearance. This Associate 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.

Primary Functions & Responsibilities

• Assist with the daily review of conflicts checks for incoming deals and with daily information management program activities.
• Clear the execution of new deal NDAs by liaising with legal teams internally and with outside counterparties.
• Execute wall crossing and market sounding process for new deals.
• Maintain the firm’s restricted list and other conflicts monitoring lists.
• Update and maintain Compliance policies and procedures as needed.
• Demonstrate a strong understanding of issuer/borrower hierarchy and research via Bloomberg.
• Partner with the Trading Compliance team to ensure proper operation of the Compliance trading program.
• Oversee and analyze reporting and analytics generated by offshore team.
• Assess conflicts of interest and participate in materiality analyses regarding MNPI, borrower restricted, syndicate private and confidential information.
• Perform internal process reviews and quality checks.
• Support and initiate special projects and ad hoc 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 Control Room and the Compliance department.
• Assist with the global testing program.

Technology Skills

• Working knowledge of financial instruments including but not limited to: private equity and credit, 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

• Bachelor’s Degree Required

Experience Required

• 10+ years of experience at a global investment adviser or investment bank - Control Room or conflicts management experience required
• Experience with credit-based strategies, including private equity, private debt and equity, and capital markets activities
• Familiarity with SEC regulatory review and interpretation of regulations
• Analytical report generation/creation
• Ability to work independently and interact effectively with all levels of management
• Organizational skills and demonstrated ability to manage competing priorities
• Experience partnering successfully with business and investment colleagues and aptitude for working effectively in a large organization and with institutional clients
• Ability to maintain a professional demeanour in both routine and highly charged environments adapt responses appropriately to each situation
• Experience working with an offshore service provider considered a plus
• Maintain a strong commitment to quality and attention to detail, ensuring that the work product is delivered completed, accurately and on-time

Reporting Relationships

Principal, Compliance

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