Ares is seeking a knowledgeable, highly organized, and proactive Associate Vice President to join our Information Management and Trade Surveillance Compliance team focused on conflicts management with respect to firm trading and investing.
Requirements
- 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
Benefits
- 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)
- Commuter Benefits plan for parking and transit
