Sr. Associate, Testing and Surveillance

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 functions and responsibilities

• Perform and oversee ongoing compliance testing in all compliance areas, including inside information and safeguarding of material non-public information, code of ethics, code of conduct, conflicts of interest, marketing and advertising
• Conduct electronic surveillance and review supporting documentation to prepare detailed testing workpapers that substantiate findings and outcomes
• Identify compliance risks and control deficiencies, recommend corrective actions and enhancements based on test results
• Provide oversight of third-party consultants and other service providers that support testing of Compliance policies
• Collaborate with Compliance professionals and other internal constituents in execution of testing of Compliance policies
• Directly manage and provide mentorship to other team members to ensure effective performance, provide leadership and development
• Help maintain standard operating procedures that are critical to the effectiveness and continuity of the Monitoring & Testing Program
• Help maintain, track and report key performance indicators/metrics for Monitoring & Testing team as assigned

Qualifications

Education:

• Bachelor’s degree preferred

Experience Required:

• 6 to 8 years of compliance and/or paralegal experience within the financial services industry
• Proficiency with Microsoft Office (Excel, Word, Teams, PowerPoint)

General Requirements:

• Energetic, initiative-taking, coachable, detailed oriented and organized;
• Ability to work in a fast-paced environment, overseeing multiple testing areas, demonstrating effective time/task management, and meeting deadlines
• 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; and,
• Familiarity with Compliance platforms such as StarCompliance, ComplianceAlpha or Global Relay is an added advantage.
• Knowledge of the investment management and private fund industry, regulatory and compliance environment
• Strong organizational skills, attention to detail, knowledge and ability to direct client teams, and ensure delivery of quality work product.
• Ability to proactively establish, track, and achieve goals, projects, and tasks needed to ensure success.

Reporting Relationships

Vice President, Compliance

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.