Associate Vice President, Investment Adviser Compliance (Enterprise)

About the role

Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.

About the role

Ares' Legal & Compliance Department oversees the Firm's global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees global regulatory matters relating to the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulatory regimes.

Ares is seeking a talented professional to join our Compliance team to serve as a key team member to drive the creation, enhancement and management of key portions of the Firm's compliance program. In this role, you will provide guidance to business teams and other partners such as technology, finance and accounting, and corporate strategy. Acting in partnership with other professionals across Legal & Compliance, you will drive initiatives that support and enable the strategic direction of the business, and that are designed to identify opportunities to enhance program effectiveness and mitigate compliance risks.

The ideal candidate will possess a strong background in investment adviser compliance and other relevant areas, with experience in finance, accounting and/or regulatory reporting viewed as particularly valuable. They will have a proven track record of operating with rigor, trustworthiness and entrepreneurship within the context of an evolving regulatory and business landscape.

They will also demonstrate an ability to operate within a dynamic and fast-changing environment, fostering and maintaining relationships across the firm's various functional groups to ensure the continued enhancement and success of the business along with its governance and compliance framework.

Primary Functions & Responsibilities

• Actively engage departmental senior leadership and other Compliance colleagues to drive key initiatives across the Investment Adviser Compliance function.
• Partner across Compliance, Regulatory Reporting, Finance & Accounting, Technology and other functions to advance data capabilities, systems, workflows and other initiatives that contribute to the formation and achievement of the enterprise-wide data strategy.
• Drive key initiatives supporting the robustness of the firm's SEC and CFTC compliance programs considering emerging regulatory trends and business requirements.
• Provide consistent and ongoing Compliance guidance to the business; partner with and advise the respective Compliance leads and their client groups on regulatory policies and procedures, including those that are designed to detect and mitigate potential conflicts of interest; and proactively provide trends and analyses relating to Compliance-related activities.
• Partner with Compliance colleagues to advise key business stakeholders, including Finance & Accounting and relevant investment groups, on maintaining and updating applicable compliance policies, procedures and related processes.
• Support the firm's key governance activities related to valuation, reporting, management fee calculations and expense allocation in addition to other finance and accounting-adjacent regulatory initiatives, as well as other areas as needed.
• Identify and help advance practical applications of emerging technology, including Generative AI, to enhance the efficiency, quality and scalability of role-relevant Compliance processes, acting in partnership with the Compliance Strategy team, Technology and other stakeholders, and operating within the context of appropriate risk management and governance.
• Demonstrate initiative and creativity in independently identifying and recommending ideas and solutions to business contacts, senior leaders and Compliance leadership.
• Develop, maintain and broaden effective working relationships across the organization and within the Compliance Department.
• Identify potential areas of vulnerability and risk and elevate key findings along with recommendations to senior leadership.

Qualifications

Education: B.S./B.A. degree in Business (or other related degree programs)

Experience Required

• 7+ years of experience in compliance, audit, financial reporting and analysis, or other related functions.
• A strong understanding of relevant SEC regulations and requirements, particularly those relating to financial reporting, regulatory reporting, and investment adviser compliance.
• Experience working within a global firm with both U.S. and non-U.S. regulatory requirements.
• Proven expertise in building, supporting and enabling data-driven capabilities such as regulatory reporting or F&A.
• Demonstrated engagement with technological advancements such as Generative AI and an ability to develop and pursue risk- and value-aware use cases within a regulated context.
• Knowledge of project and change management and an ability to work with cross-functional teams in a highly collaborative environment.

General Requirements

• Strong organizational, planning and problem-solving skills, and 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
• A solution-oriented approach that fosters constructive collaboration while ensuring adherence to the firm's high ethical and compliance standards
• Capable of serving as a change agent while leading projects and strategic initiatives relating to the enhancement of policies, procedures, internal controls, systems, etc.
• Strong sense of ownership and accountability
• Ability to manage up and instinctively know when to escalate risks, concerns, or issues
• Proficiency in Microsoft products, including Excel, Word and PowerPoint

Reporting Relationships

Compensation

The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.

$145,000 - $175,000

The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.

Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.