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Senior Associate, Compliance
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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 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.
Role Summary:
Primary Functions & Essential Responsibilities:
- Perform day-to-day tasks of the Luxembourg Compliance Team to ensure the timely, accurate and consistent execution of the AIFM’s and AIFs compliance obligations;
- Stay abreast of current rules, standards, best practices and CSSF regulatory developments;
- Assist the Conducting Officer in charge of Compliance to assess and implement any new local laws and regulations where applicable, including the identification and assessment of compliance risk in connection with the AIFM’s products and activities;
- Plan and execute the continuous compliance monitoring program, assist in identification of vulnerabilities and risks;
- Educate staff with respect to compliance matters and act as an advisor on compliance queries from staff members;
- Assist with the preparation of periodic reports and notifications to both regulatory authorities and internal stakeholders on compliance (including AML-CTF matters);
- Ensure policies and procedures are appropriately implemented and updated according to regulatory or internal requirements;
- Serving as the RC for certain Luxembourg AIFs. This includes analyzing escalations related to AML/ CFT issues and ensuring they are addressed appropriately. In addition, providing regular updates and reports on investors/ investments to the local management of AIFs is also a key element of the role.
Education:
- Master’s degree or equivalent experience/qualification (Law or Economics)
- Excellent English communication skills (verbal and in writing)
Experience Required:
- 5-7 years of relevant financial services compliance experience, preferably in the Luxembourg alternative asset management sector;
- Knowledge of legal and regulatory prescriptions governing asset management in Luxembourg;
- Knowledge of and experience with the Luxembourg anti-money laundering and financial crimes laws and regulations;
Personal Competencies:
- A self-directed individual with a can-do attitude, willing to work in an energetic, collaborative and fast-paced environment, proactive in nature, and a proven ability to learn quickly, critically evaluate information, display flexibility and adaptability while resolving issues with mínimal supervision;
- Flexibility regarding role profile and willingness to take on new projects and learn new skills;
- Outstanding communication (written and verbal), presentation, documentation, and interpersonal skills;
- High accuracy and detail orientation;
- Flexibility in terms of hours to coordinate with team members across various time zones;
- Strong self-organization skills and the ability to work effectively while managing multiple deadlines;
- Strong integrity and professionalism with ability to handle confidential information appropriately.
- Ability to manage up and instinctively know when to escalate risks, concerns and / or issues
- Anticipate and proactively action potential issues and opportunities
- An analytical mind and a passion/interest in bringing new ideas to increase eff
