Vice President, Compliance Conducting Officer
il y a 2 jours
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**:
Role Summary:
Ares is seeking a Vice President, Compliance Conducting Officer to join our Compliance team to serve as the Compliance Officer for Ares Management Luxembourg (“AMLux”), a regulated IFM who will oversee the Compliance and AML-CTF programs. As Conducting Officer in charge of the Compliance function for AMLux, the position will lead the compliance function of AMLux and serve as the Money Laundering Reporting Officer for the IFM. As a member of the Ares Global Compliance Team, this position will report to the Head of European Compliance and will be primarily responsible for overseeing compliance and serving as a Conducting Officer for the IFM and advising the Board of Directors of AMLux on regulatory risk identification, compliance and monitoring.
The Ares Compliance Department oversees and manages Ares’ global regulatory compliance and ethics program. Under the leadership of the Global Chief Compliance Officer, the Compliance Department is comprised of functionally and business-aligned teams that operate collaboratively based on the Firm’s overall structure: Investment Advisory, which oversees implementation of investment management compliance policies related to the management of client accounts; Marketing & Distribution, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Registered Products, which oversees the compliance for advised and sub-advised registered funds and public companies; Trading & Conflicts, which oversees transactional compliance with client investment guidelines and the identification, monitoring and mitigation of potential conflicts of interests that may arise; Corporate Compliance, which administers the Codes of Ethics and Conduct and oversees the global testing and surveillance program; AML-CTF, which develops and administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations and Regulatory Reporting, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives.
Primary Functions and Essential Responsibilities:
Specific responsibilities include, but are not limited to:
- Identify and assess the compliance risks to which the IFM is exposed, including identification and assessment of compliance risk in connection with new products and activities
- Assess the appropriateness of internal policies, procedures and guidelines, ensure a follow-up of any identified deficiencies, make recommendations for amendments, where necessary and supervise the implementation of corrective measures to mitigate the identified deficiencies
- Regularly monitor compliance with the compliance policies, procedures and instructions by performing regular and comprehensive compliance risk assessments and testing and preparing reports for senior management including any significant compliance issues that have arisen, corrective measures taken, investigations carried out as well as on the activities with regard to compliance responsibilities
- Maintain a list of the main rules that govern the performance of the IFM’s activities
- Serve as Money Laundering Reporting Officer and RC for the IFM
- Serve as the Complaints Handling Officer for the IFM
- Centralise all information on compliance-related matters
- Educate staff with respect to compliance matters and act as advisor on compliance queries from staff members
- Maintain the Compliance Charter, Compliance Policies and Procedures and the Compliance Monitoring Plan
- Supervise appropriate compliance checks and controls and maintain documentation of checks and controls
- Prepare periodic reports and notification to regulatory authorities on compliance and AML-CTF
- Establish and manage an issue escalation process which keeps firm management informed of incidents presenting material compliance and/or reputational risk
- Report to the Board of Directors of the IFM on the status of compliance, including with respect to the achievement of the compliance objectives, observations, deficiencies and corrective measures
- Ensure the regulatory framework of the IFM in Luxembourg and within the branches of the IFM with a strong contact with the different entities in the group in Europe and globally
- Participate in the design and implementation of internal controls proce
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