Job Description
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 ESSENTIAL RESPONSIBILITIES
- Address day to day compliance alerts/warnings from Advent Geneva reports related to portfolio trading activities
- Perform daily review of portfolio transactions and monitor compliance investment guidelines as they apply to holdings and transactions, identifying breaches and following up with respective teams (i.e. Investment Compliance, Portfolio Manager, etc.) to ensure proper rectification
- Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements
- Analyze, identify and report revised portfolio transactions
- Perform a daily review of new issuers added to the Order Management System via CRM Legal Cards creation, highlight any duplicate or affiliated issuers and report the findings
- Validate and report the third party vendor price checks
- Compile and consolidate data from various Investment pipelines and report overlapping deals
- Assist with ongoing drafting and review of Standard Operation Procedures to ensure best practices are in place
- Conduct periodic forensic and transactional testing
- Assist in monitoring third party Agency Data Workspaces to ensure the Firm is in are compliance with respect to public/private declarations
- Assist in Conflicts of Interest analysis
- Assist in the processing of employees’ personal trade requests in accordance with the Firm’s policy and standard operating procedure.
- Coordinate and Assist in Compliance related projects, ad-hoc requests, and initiatives
QUALIFICATIONS
Education:
- B. Com / M. Com / MBA / CA /Degree in Commerce/Finance
Experience Required:
- 3-6 years of related work experience with knowledge on Finance and keen interest to learn Investment Compliance and regulatory environment. Knowledge of financial products will be added advantage.
Required Knowledge:
- Ability to understand the processes with clarity
- Understand the fundamentals of Compliance and relating them to the processes
- Proficiency on MS Office suite of applications and Power BI
- Familiarity with trading systems and compliance components such as Black Mountain Everest, Advent Geneva, Salesforce, Bloomberg would be an added advantage
General Requirements:
- Good analytical skills
- Attention to detail
- Good interpersonal skills
- Good written and verbal communication skills
- Work as a team player
- Open to work flexible hours
Reporting Relationships
Vice President, Compliance
