Senior Associate, Investment Control

Mid / Senior


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About This Workplace

Meytier Partner

Ares is looking for a Senior Associate to join the Los Angeles Investment Operations team. The Investment Operations team works closely with business stakeholders in three lines of business (Credit, Private Equity and Real Estate) as well as various corporate functions. The team primarily works out of the Los Angeles office in partnership with the team in India. The ideal candidate will be responsible for setup and monitoring of investment guidelines for all Ares funds in addition to supporting Investment Control related functions including but not limited to trade settlements and corporate actions processing. Ares, as an alternative asset manager, has an asset mix which is comprehensive and heavily concentrated in bank debt. The ideal candidate would have experience working with Direct Lending and High Yield mandates for a global client base including pensions, insurance, and institutional investors. They will be responsible for the daily monitoring and onboarding of new investment mandates in partnership with the Investment Control team and support from the team in Mumbai. The role requires a dynamic, adaptive, experienced hands-on professional to ensure best practices in a fast-paced rapidly growing environment.

Key Responsibilities:

  • Responsible for evaluation of new investment agreements and building/assigning of compliance rules in the compliance system
  • Daily monitoring of compliance levels for all portfolios
  • Management of disposition of passive breaches and escalation of active breaches
  • Ongoing tracking of existing breaches
  • Upkeep and standardization of rule library
  • Proactive daily review of trading activity
  • Manual test execution
  • Communication with Portfolio Managers, Traders, and Investment Operations for concerns with guidelines
  • Strict documentation of policies and procedures including ongoing evolution of portfolio compliance program (process / system enhancements)
  • Maintain policy and procedures of the department and ensure our partnership team is trained and aware of any changes
  • Make recommendations and implement efficiencies to improve the team’s processes
  • Liaise between the accounting teams, offshore partners, operations and trustees for all portfolio-specific activity and issues, ensuring cross-communication of critical information between firm departments
  • Assist with Corporate Actions monitoring and processing
  • Support daily settlements of bonds, equity, ABS and derivative trades and reconciliations
  • Assist with various ad-hoc projects

Desired Profile:

  • Minimum of 5 years of experience in high quality, global capital markets or investment management firms with expertise in Portfolio Compliance
  • Experience in Investment Operations in any of middle office, back office, treasury functionals preferred
  • Prior experience with an alternative asset manager preferred, broader asset management experience preferred
  • Strong knowledge of various asset classes, primarily focused in credit/fixed income, derivatives, and FX with an emphasis on bank debt and high yield/alt credit
  • Experience with Black Mountain (Allvue), Everest, Geneva, and/or IVP data management platforms preferred
  • Understanding of basis accounting theories
  • Track record in the management of operational risk from a procedural and regulatory perspective
  • Experienced with a diverse set of investment vehicles such as Institutional Separate Accounts, SMA/Limited Partnerships, Open-End Mutual Funds, Closed-End Funds and UCITs, CLOs, and complex fund structures
  • Hedge fund, Credit or Private Equity experience is a plus

General Requirements:

  • Ability to extract meaningful information from extensive research and analysis to effectively present facts and findings in a digestible format, a keen eye for attention to detail
  • A self-directed individual with a can-do attitude, willing to work in an energetic, collaborative and fast-paced environment, proactive in nature, and a proven ability to resolve issues with minimal supervision
  • Proven outstanding communication (written and verbal), presentation, documentation, and interpersonal skills
  • A hands-on approach and ability to synthesize business operations and talent needs
  • Ability to successfully manage multiple priorities and competing demands
  • High accuracy and detail orientation
  • Good judgment in terms of escalating issues vs. solving problems independently
  • A solutions-oriented, self-starter and ability to see the big picture
  • Comfort in dealing with ambiguity and uncertainty in a dynamic and fast-paced environment
  • Ability to be flexible in terms of hours in order to coordinate with team members across various time zones
  • An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes
  • Dependable, great attitude, highly motivated and a team player


  • Bachelor’s degree in Finance or other business-related discipline
  • MBA, CFA and/or CPA preferred but not required

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