Ares Management · 2 hours ago
Associate Vice President, Conflicts Management & Trade Surveillance Compliance
New York, NY
Full-time
Onsite
Mid, Senior Level
$145K/yr - $185K/yr
7+ years expAres Management is a global investment management firm focused on delivering innovative investment solutions. They are seeking an Associate Vice President to join their Information Management and Trade Surveillance Compliance team, responsible for overseeing daily trading activities and ensuring compliance with regulations while building relationships across the enterprise.
Asset ManagementBusiness DevelopmentCreditFinanceFinancial ServicesInsurance
Responsibilities
Oversee the daily review of firm-wide trading activities, including relevant conflicts checks related to deals and the firm’s restricted and other conflicts monitoring lists
Assist with portfolio compliance requirements related to trading for accounts
Facilitate the cross/principal transaction process in partnership with various stakeholders
Advise the CLO management team on compliance questions related to structuring and the redemption process
Advise investment teams with respect to ad hoc committee participation and attendant controls
Facilitate pre-trade controls related to 3rd party CLO investing
Assist with the oversight of trade allocations
Manage the best execution/ approved broker/ trade error/ cancel and correct processes with respect to firm trading
Update and maintain Compliance policies and procedures
Oversee the trading compliance technology suite and partner with IT and data teams to ensure proper data coverage
Demonstrate a strong understanding of issuer/borrower hierarchy, loan sales and trading/quotes, and research via Bloomberg
Partner with the Control Room team to ensure proper operation of the Compliance trading program
Oversee and analyze reporting and analytics generated by offshore team
Perform internal process reviews and quality checks
Support and initiate special projects and tasks as required
Escalate issues effectively and on a timely basis to the appropriate levels of management
Participate in ongoing technological enhancements for the benefit of the Compliance department
Assist with the global testing program
Qualification
Required
Bachelor's Degree Required
7+ years of experience at a global investment adviser or investment bank - Control Room and/or conflicts management experience required
Experience with credit-based strategies, including private equity, private debt and equity, and capital markets activities
Familiarity with SEC regulatory review and interpretation of regulations
Analytical report generation/creation
Ability to work independently and interact effectively with all levels of management
Organizational skills and demonstrated ability to manage competing priorities
Experience partnering successfully with business and investment colleagues and aptitude for working effectively in a large organization and with institutional clients
Ability to maintain a professional demeanor in both routine and highly charged environments adapt responses appropriately to each situation
Maintain a strong commitment to quality and attention to detail, ensuring that the work product is delivered completed, accurately and on-time
Working knowledge of financial instruments including but not limited to: alternative and structured products, bank loans, high yield debt, equities, and real assets
Knowledge of Bloomberg
Advanced Excel
Project Management
Time Management
Strong interpersonal, relationship-building and negotiation skills
Anticipates potential issues/opportunities and takes proactive measures
Excellent verbal and written skills
High level of intellectual curiosity
Collaborative team player
Comfortable in a fast-paced environment and managing multiple tasks at once
Ability to manage up
Analytical
Driven and self-directed
Highly organized
Ability to communicate effectively with all levels of management
Diplomacy
Client service oriented
Ability to see 'big picture'
Positive attitude
Effective at conflict management
Sound judgment and able to act with discretion, particularly regarding confidential matters
Preferred
Experience working with an offshore service provider considered a plus
Benefits
Comprehensive Medical/Rx
Dental and Vision plans
401(k) program with company match
Flexible Savings Accounts (FSA)
Healthcare Savings Accounts (HSA) with company contribution
Basic and Voluntary Life Insurance
Long-Term Disability (LTD) and Short-Term Disability (STD) insurance
Employee Assistance Program (EAP)
Commuter Benefits plan for parking and transit
Access to a world-class medical advisory team
A mental health app that includes coaching, therapy and psychiatry
A mindfulness and wellbeing app
Financial wellness benefit that includes access to a financial advisor
New parent leave
Reproductive and adoption assistance
Emergency backup care
Matching gift program
Education sponsorship program
Company
Ares Management
Ares Management is an alternative asset manager focusing on credit, private equity, and real estate.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
$5.4B2025-10-29Post Ipo Equity· $1.5B
2025-01-09Post Ipo Equity· $2.3B
2024-10-09Post Ipo Debt· $750M
Leadership Team
Michael Arougheti
Director, Co-Founder & Current CEO
Antony Ressler
Co-Founder, Director and Executive Chairman
Recent News
Alternative Credit Investor
2026-01-09
DealStreetAsia
2026-01-09
Alternative Credit Investor
2026-01-08
Company data provided by crunchbase