Senior Associate, Registered Product Compliance Specialist
1 day ago
We are seeking a highly skilled Compliance professional to join our Legal and Compliance team as a Senior Associate, Registered Product Compliance. This role will support the day-to-day compliance needs of Ares registered investment companies and business development companies, including the annual assessment and maintenance of comprehensive compliance programs under the Investment Company Act of 1940.
Key Responsibilities- Assist the Registered Product Chief Compliance Officer with the annual assessment and maintenance of comprehensive compliance programs under the Investment Company Act of 1940.
- Engage with and advise regulated fund management teams and boards of directors on all issues concerning regulated fund governance and compliance with the Investment Company Act of 1940.
- Assist the Registered Product Chief Compliance Officer with the review and assessment of investments and related business activities, with a focus on ensuring compliance with regulatory requirements of the Investment Company Act of 1940 and adherence to internal protocols.
- Advise on ad-hoc questions relating to corporate governance matters, SEC reporting obligations, information sharing, and general compliance with the federal securities laws.
- Assist with the creation and management of registered fund board materials.
- Manage regulatory filings and assist with managing day-to-day regulatory compliance oversight of registered funds.
- Work closely with the in-house Legal and Compliance team and external counsel to monitor and implement legal and regulatory developments that impact the registered funds.
- Manage processes related to compliance with the conditions of the firm's SEC Co-Investment Exemptive Order.
- JD required with a strong academic background.
- 2-5 years of experience advising RICS and BDCs.
- Significant collaboration with colleagues across multiple functions, including those in senior and executive leadership.
- Proven record of accomplishment in relationship management with internal and external stakeholders.
Ares offers a competitive compensation package, including a base salary range of $160,000-$200,000, as well as a range of benefits, including comprehensive medical, dental, and vision plans, a 401(k) program with company match, and access to a world-class medical advisory team.
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Washington, Washington, D.C., United States Ares Management Corporation Full timeJob SummaryAres Management Corporation is seeking a highly skilled Compliance Professional to join our Legal and Compliance team as a member of the Registered Products team. The ideal candidate will have a strong academic background and 2-5 years of experience advising Registered Investment Companies (RICs) and Business Development Companies (BDCs).Key...
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Washington, Washington, D.C., United States Ares Management Corporation Full timeJob SummaryAres Management Corporation is seeking a highly skilled Compliance Professional to join our Legal and Compliance team as a member of the Registered Products team. The ideal candidate will have a strong academic background and 2-5 years of experience advising RICS and BDCs.Key ResponsibilitiesAssist the Registered Product Chief Compliance Officer...
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