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Ares Management · 1 day ago

Associate Vice President, Compliance Testing & Monitoring

Los Angeles, CA

Full-time

Onsite

Mid, Senior Level

$135K/yr - $175K/yr

5+ years exp

Ares Management is a leading global investment manager committed to fostering a diverse and inclusive work environment. They are seeking an Associate Vice President, Compliance Testing & Monitoring to oversee compliance testing, assess regulatory adherence, and enhance the compliance framework within the firm.

Asset ManagementBusiness DevelopmentCreditFinanceFinancial ServicesInsurance

Growth Opportunities

Responsibilities

Conduct and oversee ongoing compliance testing across all relevant areas, including the handling of inside information and material non-public information, adherence to the code of ethics, marketing and advertising practices, electronic communications, and social media activities

Review electronic surveillance findings, collaborate with policy owners, and manage reporting and detailed testing workpapers that support findings and outcome

Identify compliance risks and control deficiencies, and recommend corrective actions and enhancements based on testing results

Utilize strong communication skills to collaborate effectively with compliance teams, senior business management, and oversee third-party service providers

Lead and participate in special projects aimed at enhancing efficiency in testing, centralizing compliance testing, and improving the monitoring and testing program

Qualification

Compliance TestingRisk AssessmentFinancial RegulationsAnalytical SkillsBusiness WritingExcel ProficiencyPowerPoint ProficiencyMS Access ProficiencyInterpersonal SkillsOrganizational SkillsProblem-Solving SkillsTeam Collaboration

Required

Bachelor's degree required

5-8 years of Finance industry experience in Compliance, with experience at a global asset management firm a plus

Understanding of control frameworks and risk assessment analysis

Experienced business writer with proven ability to provide clear and concise descriptions of work performed and conclusions reached

Detail-oriented, robust analytical, investigative and problem-solving skills

Strong interpersonal, communication, and organizational skills, with the ability to manage up

Flexible to changing business priorities and ability to multitask in a constantly changing environment

Ability to work both independently and collaboratively within a team environment

Ability to manage multiple assignments simultaneously with minimal supervision

Demonstrate flexibility in working hours to effectively coordinate with team members across multiple time zones

Proficient in Excel, PowerPoint, MS Access, and other MS Office applications

Preferred

Advanced Degree preferred

Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, and the Investment Company Act of 1940 is preferred

Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, compliance consulting firm, or regulator preferred