Associate, Control Room, Compliance

Ares Management; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading investment management firm in Greater London seeks an Associate for its Compliance team. Responsibilities include managing conflicts checks, approving NDAs, and maintaining compliance policies. The successful candidate will have 4-8 years of relevant experience in compliance or conflicts management and a Bachelor's Degree. Strong interpersonal skills and knowledge of Bloomberg are essential. This role provides opportunities to work in a dynamic environment focusing on regulatory compliance and relationship building.

Qualifications

• 4-8 years of experience at a global investment adviser or investment bank.
• Control Room and/or conflicts management experience required.
• Familiarity with SEC regulations and MAR requirements.

Responsibilities

• Assist with daily review of conflicts checks for incoming deals.
• Approve and execute new opportunity NDAs by liaising with legal teams.
• Maintain the firm’s restricted list and other conflicts monitoring lists.
• Support and initiate special projects and ad hoc tasks as required.

Skills

Strong interpersonal skills

Analytical

Time Management

Client service oriented

Collaborative team player

Education

Bachelor’s Degree Required

Tools

Bloomberg

Advanced Excel

Job description

Overview

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

Summary:

The Ares Compliance Department oversees and manages Ares’ global regulatory compliance and ethics program. Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance Department is comprised of functionally and business-aligned teams that operate collaboratively based on the Firm’s overall structure: Investment Adviser Compliance, which oversees implementation of global policies and procedures as well as Regulatory Reporting and Compliance testing; Marketing & Distribution Compliance, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Regulated Funds Compliance, which oversees the compliance for advised and sub-advised registered funds and public companies; Conflicts Management and Trade Surveillance Compliance, which administers the Code of Ethics, Control Room and trade surveillance program; Financial Crime Prevention, which administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives; and the EMEA and APAC-based Compliance programs

Ares is seeking a knowledgeable, highly organized, and proactive Associate to join our Control Room within the Conflicts Management and Trade Surveillance Compliance team focused on information and conflicts management with respect to firm trading and investing. This 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.
• Approve the execution of new opportunity NDAs 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.
• Assist with the facilitation of Expert Network interactions.
• Assess conflicts related to activities governed by the Firm’s Code of Ethics.
• Update and maintain Compliance policies and procedures as needed.
• Demonstrate a strong understanding of issuer/borrower hierarchy and research via Bloomberg.
• Ensure proper operation of the Compliance Trading program, including clearing trade requests and liaising with Portfolio Compliance teams.
• 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.

Tech 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 or relevant qualification/s

Experience Required

• 4-8 years of experience at a global investment adviser or investment bank - Control Room and/or conflicts management experience required
• Experience with credit-based strategies, private debt, private equity, real assets, and capital markets activities preferred
• Familiarity with SEC regulations and MAR requirements
• Analytical/ conflict management skills
• 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

Reporting Relationships

Managing Director, Head of EMEA 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.