Associate, Corporate Compliance (Code of Ethics)

Job Description

The Ares Legal & Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs.  Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations. 

As a member of Compliance at Ares, you will work with and support the Investment A Compliance (Code of Ethics) team to ensure that we continue to build an environment where issues are handled with integrity, we do what is in the best interest of our clients, and that we comply with all regulatory requirements. The ideal candidate will demonstrate keen attention to details, results-oriented, growth mindset and the ability to perform in a fast paced and dynamic environment.

Primary Functions and Essential Responsibilities

• Support the administering of the Code of Ethics, Code of Conduct and Anti-Corruption  and Conflicts of Interest policies;

• Regularly respond to inquiries relating to gifts & entertainment, and screen lists of invitees to Ares-sponsored events;

• Assist in processing and escalating  pre-clearance requests related to business gifts and entertainment, employee outside business activity and political contributions;

• Support the onboarding of new employees into our Compliance program including, i) new hire access activation; ii) new hire training and disclosure form tracking; iii) tracking current employee statuses for certifications/access maintenance; and iv) tracking temporary workers;

• Support offboarding process for terminated employees;

• Assist in the creation and delivery of training materials to staff members;

• Participate in Compliance program initiatives, projects, etc. beyond core responsibilities;

• Utilize compliance system technology to leverage information sharing and enable collaboration;

• Identify exceptions to policies and escalate as appropriate for further analysis to address root cause assessment;

• Act as a daily resource to Ares’ global employee base on compliance questions and issues;

• Help maintain internal procedures and training materials that are critical to the effectiveness and continuity of the Ares Compliance program;

• Help maintain, track and report key performance indicators/metrics for the team as assigned; and

• Assist with intake requests for record retention and data management.

QUALIFICATIONS

Education:

• Bachelor’s degree preferred

• Compliance Certificate considered a plus

Experience Required:

• 2 to 4 years of compliance and/or paralegal experience within the financial services industry

• Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)

General Requirements and Personal Attributes:

• Energetic, initiative-taking, coachable, detailed oriented and organized;

• Enjoys a fast-paced environment with changing and evolving responsibilities;

• Knowledge and experience with SEC regulations and laws;

• Solid written, verbal and interpersonal skills;

• Strong analytical and critical thinking skills;

• Creative, entrepreneurial, able to work in teams under high pressure and contribute to a collaborative environment;

• Resilient with ability to adapt to changing business priorities and emerging technologies;

• Invested in own personal development;

• Consistently pursues client experience excellence;

• Familiarity with Compliance trading and CRM systems such as StarCompliance or Salesforce would be an added advantage.

Reporting Relationships

Compensation

$100,000-$120,000

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.