AVP Corporate Compliance (Code of Ethics & Political Contributions)

Ares Operations•Arlington, NY

12d•$145,000 - $185,000

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 an Associate Vice President to join our Conflicts Management and Trade Surveillance Compliance team to serve as a member of the Firm’s Code of Ethics Compliance program. The ideal candidate will bring demonstrated knowledge and experience across political contributions as it relates to compliance and best in class global Code of Ethics & forensic testing programs. This role will particularly focus on enhancement of compliance political contribution and lobbying policies, procedures and technology of the Firm’s Global Code of Ethics program in coordination with the Heads of Compliance for EMEA and APAC.

Requirements

Bachelor’s Degree required
7+ years of Finance industry experience in Compliance, with experience at a global asset management firm a plus
7+ years of Code of Ethics related work with a strong understanding of political contributions is required
A strong understanding of SEC regulations, with a particular focus on the Investment Advisers Act of 1940
Experience with non-U.S. regulatory requirements for investment managers
Proven people leader – hiring, developing, and fostering talent; building high-performing and well-coordinated teams; driving change across scaled and global teams
Ability to effectively partner with global staff inside and outside of the department
Proven ability to develop long-term strategy, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives
Exceptional critical thinker
Strong business judgment
Ability to manage up and communicate efficiently and effectively
Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
Strong management skills, including proven experience of managing and/or collaborating with teams in remote locations to ensure efficiency, effectiveness, and high level of supervisory oversight
Strong sense of ownership and accountability
Ability to manage up and instinctively know when to escalate risks, concerns, issues and/or various messages
Expertise with SEC regulatory review and interpretation of regulations
Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment
Ability to successfully manage multiple priorities and competing demands; result oriented
High accuracy and detail orientation
Organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion
Excellent communication and client service skills; capability of interacting with key stakeholders to direct prioritization of program related activity
Strong written, verbal and interpersonal skills
An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes
Experience and ability to proactively and continuously identify and analyze problem situations to develop an effective and improve course of action for resolution
Ability to be flexible in terms of hours in order to coordinate with team members across time zones
Comfort in dealing with ambiguity and uncertainty in a dynamic environment
Dependable, great attitude, highly motivated and a team player
Ability to handle confidential information appropriately

Nice To Haves

Advanced Degree preferred
experience at a global asset management firm a plus

Responsibilities

Administer, along with other team members, the Firm's Global Code of Ethics Program including political contributions, policies governing personal trading, gifts and entertainment, outside business activity, and conflicts of interest
Act as lead to manage pre-clearance requests related to political contributions, gifts and entertainment, etc.
Assess initial disclosure information for potential conflicts of interest
Act as administrator and systems expert for the system Ares uses to administer the Code of Ethics and other global policies
Manage the Firm’s lobbyist registrations and items of value requisitions related to government officials in coordination with the Firm’s Head of Financial Crime Prevention
Generate relevant metrics for management regarding Code of Ethics supervisory activities
Identify, investigate, and properly address potential or actual violations
Supervise certain tasks performed by third party compliance support providers and help provide continuous training to improve the process
Facilitate quarterly, annual, and ad hoc policy certifications
Act as one of the primary contacts for responding to policy questions, mostly related to the Code of Ethics
Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows
Maintain strong working knowledge of the firm's compliance policies and procedures
Appropriately escalate material compliance issues