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Vice President of Compliance for Investment Advisers

2 months ago

New York, New York, United States Ares Management Corporation Full time

Position Overview

The Ares Legal & Compliance Department is responsible for overseeing and managing Ares' global legal, regulatory, and compliance functions. Under the guidance of the Global Chief Compliance Officer, our Compliance and Regulatory teams work collaboratively with a global perspective. This includes managing all global regulatory matters, such as the Advisers Act, Investment Company Act, and FINRA, as well as region-specific compliance in Europe and Asia Pacific.

Ares is in search of a skilled Compliance professional to become a senior member of our Legal and Compliance team, focusing on the development and execution of the Firm's Registered Investment Adviser program. The ideal candidate will possess extensive experience and a deep understanding of compliance within complex regulatory frameworks, particularly concerning the Firm's Compliance program. This role will emphasize the establishment and ongoing management of the core RIA program across various business strategies, ensuring effective conflict management among investment professionals and coordinating relevant regulatory examinations.

Key Responsibilities

Responsibilities include, but are not limited to:

  • Collaborating with the Chief Regulatory Officer to guide the Compliance function throughout the organization.
  • Providing continuous Compliance guidance and partnering with respective Compliance leads and their client groups on regulatory policies and procedures; proactively analyzing trends related to Compliance activities.
  • Presenting significant findings and recommendations to senior leadership, identifying priorities, and ensuring issues are resolved effectively.
  • Administering and enhancing the organization's Global Compliance program, focusing on improving workflow efficiencies.
  • Developing, implementing, and enforcing effective Compliance policies and procedures in line with applicable laws and regulations.
  • Maintaining a comprehensive understanding of regulations pertinent to investment activities and staying updated on legal and regulatory changes.
  • Coordinating and conducting thorough Compliance periodic reviews, annual assessments, and risk evaluations as necessary.
  • Identifying potential conflicts of interest and business practices that may pose risks, and addressing these in the Firm's policies and procedures.
  • Recognizing areas of vulnerability and risk while establishing controls to mitigate these risks.
  • Ensuring procedures are implemented and documented according to the Firm's compliance manuals and supervisory protocols.
  • Assisting the Global Chief Compliance Officer and Chief Regulatory Officer during regulatory examinations and investigations.
  • Contributing to the development of a high-performing and efficient Investment Advisor function.

Qualifications

Education:

  • Bachelor's Degree required.
  • Advanced Degree or Juris Doctor preferred.

Experience:

  • 7+ years of experience in the Finance industry, particularly in Compliance, with a preference for experience at a global asset management firm.
  • 7+ years of relevant leadership experience in investment advisory compliance.
  • Strong understanding of SEC regulations, especially the Investment Advisers Act of 1940.
  • Experience with international regulatory requirements for investment managers.
  • In-depth knowledge of regulatory requirements and industry standards.
  • Ability to effectively collaborate with investment professionals and understand investment products; capability to influence.
  • Proven ability to navigate multiple alternative asset classes in a dynamic environment.
  • Exceptional critical thinking and business judgment skills.
  • Effective communication and management skills.

General Requirements:

  • Outstanding communication and analytical skills.
  • Strong sense of ownership and accountability.
  • Ability to manage multiple priorities and competing demands.
  • High accuracy and attention to detail.
  • Proficient organizational skills, with the ability to lead large-scale projects to completion.
  • Analytical mindset with a passion for improving existing processes.
  • Flexibility in hours to coordinate with team members across different time zones.
  • Dependable, motivated, and a collaborative team player.

Compensation and Benefits

The anticipated base salary range for this position is $130,000-$150,000. Total compensation may also include a discretionary performance-based bonus. Ares offers a comprehensive benefits package, including medical, dental, and vision plans, a 401(k) program with company match, flexible savings accounts, life insurance, disability insurance, and various wellness programs.