Control Room & Conflicts Compliance Associate

Ares Management; Greater London; On-site; GBP 60,000 - GBP 90,000; Full time

Job summary

A global alternative investment firm seeks a knowledgeable Associate to join its Control Room in Compliance. The role involves managing conflicts, executing NDAs, and supporting compliance obligations in a fast-paced environment. Ideal candidates will have substantial experience in compliance within a financial context and be adept at navigating complex regulatory frameworks. Candidates should display strong analytical abilities and excellent interpersonal skills to build relationships across teams.

Qualifications

• 4-8 years of experience at a global investment adviser or investment bank.
• Experience in Control Room and/or conflicts management.
• Familiarity with SEC regulations and MAR requirements.

Responsibilities

• Assist with daily review of conflicts checks.
• Approve execution of NDAs.
• Maintain firm's restricted list and conflicts monitoring lists.
• Clear trade requests within the Compliance Trading program.
• Support ongoing technological enhancements for Compliance.

Skills

Financial instruments knowledge

Advanced Excel

Project Management

Time Management

Relationship-building skills

Analytical skills

Negotiation skills

Education

Bachelor's Degree

Tools

Bloomberg

Job description

A global alternative investment firm seeks a knowledgeable Associate to join its Control Room in Compliance. The role involves managing conflicts, executing NDAs, and supporting compliance obligations in a fast-paced environment. Ideal candidates will have substantial experience in compliance within a financial context and be adept at navigating complex regulatory frameworks. Candidates should display strong analytical abilities and excellent interpersonal skills to build relationships across teams.