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Senior Compliance Officer
2 months ago
Ares Management Corporation is seeking a highly skilled and experienced Compliance professional to join our Legal and Compliance team as a Senior Compliance Officer. This role will be responsible for creating and implementing the Firm's Registered Investment Adviser program, ensuring compliance with complex regulatory regimes, and providing guidance to senior leadership.
Key Responsibilities- Collaborate with the Chief Regulatory Officer to direct the Compliance function across the organization.
- Provide ongoing Compliance guidance and advice to Compliance leads and client groups on regulatory policies and procedures.
- Present key findings and recommendations to senior leadership, elevating issues and identifying priorities.
- Administer and improve the organization's Global Compliance program, focusing on workflow efficiencies.
- Develop, implement, and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations.
- Maintain a thorough understanding of regulations applicable to investment-related activities and stay up-to-date on legal and regulatory developments.
- Coordinate and conduct comprehensive Compliance periodic reviews, annual reviews, and risk assessments as necessary.
- Identify conflicts of interest and business practices that may create risk exposure and address such risk in the Firm's policies and procedures.
- Ensure procedures are implemented and documented in accordance with the Firm's compliance manuals and written supervisory procedures.
- Assist the Global Chief Compliance Officer and Chief Regulatory Officer in regulatory examinations and investigations as needed.
- Bachelor's Degree required; Advanced Degree/Juris Doctor preferred.
- 7+ years of Finance industry experience in Compliance, with experience at a global asset management firm a plus.
- 7+ years of relevant investment advisory compliance leadership experience.
- 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.
- Detailed knowledge of relevant regulatory requirements and industry standards.
- Ability to effectively partner with investment professionals and develop a deep understanding of investment products.
- Proven ability to work across multiple asset classes in a fast-paced environment, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives.
- Exceptional critical thinking and business judgment skills.
- Ability to manage up and communicate efficiently and effectively.
Ares Management Corporation offers a comprehensive benefits package, including medical, dental, and vision plans, 401(k) program with company match, flexible savings accounts, healthcare savings accounts, basic and voluntary life insurance, long-term disability, and short-term disability insurance, employee assistance program, and commuter benefits plan.
The firm also offers additional benefits, including access to a world-class medical advisory team, mental health app, mindfulness and wellbeing app, financial wellness benefit, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and more.
