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;
