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Associate, Compliance Officer
il y a 3 semaines
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:
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.
The Ares Compliance Department is currently seeking an Associate to support Ares Management Luxembourg on deliverables related to the day-to-day compliance program. The Associate of Compliance will focus on AML-CTF compliance. This role requires an intrinsically motivated, agile, and adaptable compliance professional with a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives in a fast paced, rapidly growing environment.
Primary Functions and Essential Responsibilities:
- Perform day-to-day tasks of the Compliance Team to ensure the timely, accurate and consistent execution of the firm’s compliance obligations with a focus on Anti-Money Laundering and Financial Crimes compliance
- Interact daily with senior management, traders, and other business units
- Support all compliance team members in maintenance and testing of compliance policies and procedures including the Compliance Charter, Compliance Policies and Procedures, the Compliance Monitoring Plan and Anti-Money Laundering/Counter Terrorist Financing Program
- Assist with execution and planning of continuous monitoring and testing program across European Offices
- Assist in creation and delivery of training materials to European staff members
- Assist Compliance Officer for Ares Management Luxembourg with assessment and implementation of new European regulations where applicable, including identification and assessment of compliance risk in connection with new products and activities
- Stay abreast of current rules, standards, and best practices with a focus on CSSF regulatory developments
- Active participation in compliance program initiatives, projects, etc., beyond core responsibilities
- Utilize compliance system technology to leverage information sharing and efficiency of collaboration
- Collaborate effectively with Legal, Human Resources, Accounting, and other team members
- Assist with responses to due diligence requests for the entities
- Educate staff with respect to compliance matters and act as advisor on compliance queries from staff members
- Assist with the preparation of periodic reports and notification to both regulatory authorities and internal stakeholders on compliance and AML-CTF
- Identify potential areas of vulnerability and risk while developing controls to mitigate risks
- Co-ordinate with the Compliance Officer for Ares Management Luxembourg to ensure procedures are appropriately implemented and documented in accordance with the IFM’s compliance manuals and written supervisory procedures
**Education**:
- Bachelor’s degree required
- Master’s degree considered a plus
Experience Required:
- 3-5 years of relevant financial services compliance experience
- Knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices
- Knowledge of and experience with anti-money laundering and financial crimes regulation
- Knowledge of complex corporate entity types, and the f
