Associate Vice President, Trade Surveillance Compliance

Information Management And Trade Surveillance Compliance Vice President

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.

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 : Principal, Trade and Conflicts Compliance

Supervises : TBD

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

Qualifications : Tech Skills :

Soft Skills :

Education : Bachelor's Degree Required

Experience Required :

Managing Director, Conflicts Management and Trade Surveillance

Compensation : $145,000-$185,000

The 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.