Associate Vice President, Investment Adviser Compliance (Enterprise)

Ares Management Corporation•New York, NY

2d•$145,000 - $175,000

About The Position

Ares’ Legal & Compliance Department oversees the Firm’s global Legal, Regulatory and Compliance functions and programs. The Compliance and Regulatory functions operate collaboratively with a global focus, including oversight of regulatory matters related to the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other regulatory regimes. Ares is seeking a professional to help create, enhance and manage key portions of the Firm’s compliance program. The role provides guidance to business teams and partners such as Technology, Finance & Accounting, and Corporate Strategy. Working with colleagues across Legal & Compliance, the position drives initiatives that support the business’s strategic direction, improve program effectiveness and mitigate compliance risks. The ideal candidate has a strong background in investment adviser compliance and related areas. Experience in finance, accounting and/or regulatory reporting is particularly valuable. The role requires rigor, trustworthiness and an entrepreneurial approach in an evolving regulatory and business landscape, as well as the ability to build relationships across functional groups and support the business’s governance and compliance framework.

Requirements

B.S./B.A. degree in Business or another related degree program.
At least 7 years of experience in compliance, audit, financial reporting and analysis, or related functions.
Strong understanding of relevant SEC regulations and requirements, particularly regarding financial reporting, regulatory reporting and investment adviser compliance.
Experience working within a global firm subject to U.S. and non-U.S. regulatory requirements.
Expertise building, supporting and enabling data-driven capabilities, such as regulatory reporting or Finance & Accounting capabilities.
Engagement with technological advancements such as Generative AI, and ability to develop and pursue risk- and value-aware use cases in a regulated context.
Knowledge of project and change management and ability to work collaboratively with cross-functional teams.
Strong organizational, planning and problem-solving skills, with exceptional attention to detail.
Experience operating in a fast-paced environment and adapting to new technology and/or enterprise-level change.
Exceptional verbal and written communication skills.
Solution-oriented approach that fosters constructive collaboration while ensuring adherence to high ethical and compliance standards.
Ability to serve as a change agent while leading projects and strategic initiatives related to policies, procedures, internal controls and systems.
Strong sense of ownership and accountability.
Ability to manage up and recognize when to escalate risks, concerns or issues.
Proficiency in Microsoft Excel, Word and PowerPoint.

Nice To Haves

Experience in finance, accounting and/or regulatory reporting is particularly valuable.

Responsibilities

Engage departmental senior leadership and Compliance colleagues to drive initiatives across the Investment Adviser Compliance function.
Partner with Compliance, Regulatory Reporting, Finance & Accounting, Technology and other functions to advance data capabilities, systems, workflows and enterprise-wide data strategy initiatives.
Drive initiatives supporting the Firm’s SEC and CFTC compliance programs in light of emerging regulatory trends and business requirements.
Provide ongoing Compliance guidance to the business and advise Compliance leads and client groups on regulatory policies and procedures, including those designed to detect and mitigate potential conflicts of interest.
Provide trends and analyses relating to Compliance activities.
Advise business stakeholders, including Finance & Accounting and investment groups, on maintaining and updating compliance policies, procedures and related processes.
Support governance activities related to valuation, reporting, management fee calculations, expense allocation and other finance- and accounting-adjacent regulatory initiatives.
Identify and advance practical applications of emerging technology, including Generative AI, to improve the efficiency, quality and scalability of Compliance processes, with appropriate risk management and governance.
Independently identify and recommend ideas and solutions to business contacts, senior leaders and Compliance leadership.
Develop and maintain effective working relationships across the organization and within the Compliance Department.
Identify potential vulnerabilities and risks, and escalate findings and recommendations to senior leadership.