Associate, Compliance

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
- Core Responsibilities
- Support the administering of the Corporate Compliance polices, including Code of Ethics and Conduct and Anti-Corruption policies;
- On a daily basis, respond to inquiries relating to gifts & entertainment, and screen lists of invitees to Ares-sponsored events;
- Assist in processing and escalating Code of Conduct and Anti-Corruption matters including pre-clearance of business gifts and entertainment and political contributions as well as Conflict of Interest policy matters such as employee outside business activity requests;
- Support the onboarding of new employees into our Compliance program including, i) new hire access activation; ii) new hire training and disclosure form tracking; iii) tracking current employee statuses for certifications/access maintenance; and iv) tracking temporary workers;
- Support offboarding process for terminated employees;
- Assist in the creation and delivery of training materials to staff members;
- Participate in Compliance program initiatives, projects, etc. beyond core responsibilities;
- Utilize compliance system technology to leverage information sharing and enable collaboration;
- Identify exceptions to policies and escalate as appropriate for further analysis to address root cause assessment;
- Be a daily resource to Ares’ global employee base on compliance questions and issues;
- Help maintain internal procedures and training materials that are critical to the effectiveness and continuity of the Ares Corporate Compliance program;
- Help maintain, track and report key performance indicators/metrics for Corporate Compliance team as assigned; and
- Assist with intake requests for record retention and data management.
- QUALIFICATIONS
- Education:

- Bachelor’s degree preferred
- Compliance Certificate considered a plus
- Experience Required:

- 2 to 4 years of compliance and/or paralegal experience within the financial services industry
- Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
- General Requirements and Personal Attributes:

- Energetic, initiative-taking, coachable, detailed oriented and organized;
- Enjoys a fast-paced environment with changing and evolving responsibilities;
- Knowledge and experience with SEC regulations and laws;
- 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;
- Invested in own personal development;
- Consistently pursues client experience excellence; and,
- Familiarity with Compliance trading and CRM systems such as StarCompliance, ComplianceAlpha or Salesforce would be an added advantage.

Reporting Relationships

Head of Corporate Compliance