Associate Vice President, Compliance-- Conflicts Management

Ares Operations•Los Angeles, NY

13d

About The Position

The Ares Legal and Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations. Ares is seeking a Compliance Associate Vice President to support the firm’s enterprise-wide conflicts management program, including oversight of executive officers and other designated access persons, with a focus on identifying and managing potential conflicts of interest related to personal investment activities and outside business activities. This role sits within the Compliance Department and serves as a key liaison between senior management, investment teams, Legal, and the Conflicts Review Group. The Associate Vice President will help ensure that proposed transactions align with the Ares Code of Ethics, regulatory obligations, and internal governance standards. This position offers exposure to firm-wide investment activity and governance matters and is ideal for candidates with strong analytical skills, regulatory awareness, and a collaborative mindset.

Requirements

Bachelor’s degree required; JD or advanced degree preferred
8-12 + years of experience in compliance, legal, or regulatory roles within asset management, private equity, or investment management
Strong understanding of the Investment Advisers Act or 1940, including Rule 204A-1 (Code of Ethics), and familiarity with the Investment Company Act of 1940 and related SEC guidance
Experience advising on conflicts of interest, personal trading, private investment and outside business activity reviews.
Familiarity with investment committee processes and governance frameworks
High attention to detail and ability to manage multiple concurrent reviews
Excellent communication and interpersonal skills across teams and seniority levels
Ability to work independently and prioritize in a fast-paced environment

Responsibilities

Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, assessing alignment with internal policies
Identify and analyze conflicts arising from employee personal trading, private investments, and outside business activities
Review personal disclosures, pre-clearance requests, and certifications for consistency with firm policies and regulatory standards
Coordinate with investment professionals to gather deal information and clarify potential areas of concern
Collaborate with Fund Legal teams to ensure fund document requirements are being properly addressed and that there is a consistent application of conflict protocols
Advise business personnel on the application of the Ares Code of Ethics, conflicts policies, and related governance requirements.
Coordinate with Legal and Compliance teams and business stakeholders regarding information barriers, restricted list matters, and other conflict mitigation measures, as appropriate.
Track and manage the pipeline of private investment opportunity requests requiring compliance review
Prepare and present conflict assessments to senior management for review and clearance
Maintain detailed records of conflict reviews, decisions, and ongoing monitoring requirements
Support conflict management efforts by identifying potential reputational, legal, or regulatory risks and recommending mitigation strategies
Contribute to the development and refinement of risk management frameworks related to conflicts oversight and personal investment activities
Assist with regulatory examinations, internal audits, and periodic reviews relating to conflicts management and the Code of Ethics
Support the development, implementation, and enhancement of policies and procedures governing conflicts management and personal investment activities