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.
Job Description
Primary Responsibilities:
The Analyst will support the monitoring of firmwide policies, including but not limited to:
- Personal Trading Policy
- Political Contribution Policy
- Outside Business Activity Policy
- Gift and Entertainment Policy
- Anti-Corruption Policy
- Code of Ethics Policy
- Insider Information Policy
- Conflict of Interest Policy
Key Responsibilities:
- Understand compliance policies.
- Manage employee profiles for compliance requirements, activate profiles, assign certificates, and follow up with employees for timely task completion.
- Review reported broker accounts, collect, and reconcile broker statements.
- Monitor electronic feeds by liaising with external brokers.
- Monitor and reconcile transaction alerts generated from electronic feeds.
- Review gift and entertainment requests, political contribution requests, private investments, and outside business activities.
- Advise employees on policies and respond to inquiries.
- Ensure timely completion of assigned tasks with minimal supervision.
- Monitor applications for accuracy of automated results.
- Stay self-motivated to upskill according to the changing industry environment.
- Identify gaps and escalate issues in a timely manner.
Experience Required:
- BCom, BBA, BBM, MBA-Finance, or any degree with 1 to 2 years of corporate experience, with relevant compliance roles.
Added Advantages:
- Compliance certifications.
- Proficiency in Power BI, Power Automate, Tableau, and Python.
General Requirements:
- Self-motivated and driven; able to work effectively in a collegial, fast-paced, demanding, and dynamic environment.
- Attention to detail and analytical skills.
- Creative problem solver.
- Good team player.
- Impeccable integrity and trustworthiness.
- Basic MS Excel modeling skills.
- Basic MS PowerPoint skills.
Reporting Relationships
Principal, RIA Compliance (Code of Ethics)
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.
