Senior Associate, Control Room Compliance, APAC

Job Description

Summary:

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 to join our Control Room Compliance team focused on information conflicts management, monitoring list administration, and trade and investment clearance. This Senior Associate 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 & Essential Responsibilities:

• Assist with the daily review of conflicts checks for incoming deals and with daily information management program activities.
• Clear new deal NDA’s by liaising with legal teams internally and for 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, 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.

Required Skills:

Technical 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 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:

• 4-8 years of experience at a global investment adviser or investment bank - Control Room and/or conflicts management experience in APAC is required
• Experience with credit-based strategies, including private equity, private debt and equity, and capital markets activities
• Some familiarity with regulatory reviews and interpretation of regulations in both the APAC and SEC context
• 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 demeanor 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

Company Description:

Ares Management Corporation (NYSE: ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit, private equity, real estate, and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups, we aim to generate consistent and attractive investment returns throughout market cycles. As of June 30, 2022, Ares Management Corporation's global platform had approximately $334 billion of assets under management, with over 2,300 employees operating across North America, Europe, Asia Pacific, and the Middle East. For more information, please visit www.aresmgmt.com.

Ares Management Corporation is an Equal Opportunity employer and considers all applicants for employment without regard to race, color, religion, ethnicity, creed, sex, age, national origin, citizenship status, disability, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, genetic predisposition and carrier status, status as unemployed.

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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.