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3 AVP, Investment Adviser Compliance Jobs in New York, NY

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Ares Operations LLC
New York, NY | Full Time
$132k-173k (estimate)
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Ares Operations LLC
New York, NY | Full Time
$244k-344k (estimate)
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Ares Operations LLC
New York, NY | Full Time
$132k-173k (estimate)
1 Week Ago
AVP, Investment Adviser Compliance
$132k-173k (estimate)
Full Time 1 Week Ago
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Ares Operations LLC is Hiring an AVP, Investment Adviser Compliance Near New York, NY

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. Job Description The Ares Legal & 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; Corporate Compliance, which administers global policies and central compliance and oversight functions; and Financial Crimes, which oversees Ares’ adherence to financial crimes-related rules and regulations. Ares is seeking a talented Compliance professional to join our Legal and Compliance team to serve as a senior team member creating and implementing the Firm’s Registered Investment Adviser program. The ideal candidate will bring significant experience and demonstrated knowledge of compliance with complex regulatory regimes including oversight of the Firm’s 206(4)-7 Compliance program. This role will particularly focus on the implementation and maintenance of core RIA program across all business strategies across the organization with effective conflicts management with investment professionals and coordination of applicable regulatory examinations. Primary Functions and Responsibilities Specific responsibilities include, but are not limited to: Actively engage with the Chief Regulatory Officer to assist in directing the Compliance function throughout the organization Provide consistent and ongoing Compliance guidance, partner and advise with the respective Compliance leads and their client groups on regulatory policies and procedures; proactively provide trends and analyses relating to Compliance-related activities Present key findings and recommendations to senior leadership. Elevate issues, identify priorities and track follow-on items to ensure they are appropriately resolved. Demonstrate initiative and creativity in independently recommending and implementing solutions to business contacts, senior leaders and Compliance leadership. Administer and continually improve the organization’s Global Compliance program with particular focus on improvement of workflow efficiencies Proactively develop, implement, and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations Maintain and demonstrate a thorough understanding of the regulations applicable to investment related activities and stay abreast of legal and regulatory developments; research and determine impact of new or revised laws and regulations on the firm’s business Coordinate and conduct comprehensive Compliance periodic reviews, annual reviews, and risk assessment as appropriate Identify conflicts of interest and business practices that may create risk exposure and adequately address such risk in the Firm’s policies and procedures across multiple business strategies Identify potential areas of vulnerability and risk while developing controls to mitigate risks Ensure procedures are appropriately 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 appropriate Assist in developing a high-performing and efficient Investment Advisor function Qualifications Education: Bachelor’s Degree required Advanced Degree / Juris Doctor preferred Experience Required: 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 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 Detailed knowledge of relevant regulatory requirements and industry standards Ability to effectively partner with investment professionals and develop a deep understanding of investment products; ability to influence Proven ability to work across multiple alterative asset classes in a fast-paced environment, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives Exceptional critical thinker Strong business judgment Ability to manage up and communicated efficiently and effectively General Requirements: Exceptional communication skills Excellent analytical skills Strong sense of ownership and accountability Ability to manage up and instinctively know when to escalate risks, concerns, issues and/or various messages Strong understanding of investment adviser industry including U.S. and global securities laws including the Investment Advisers Act 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 Ability to multi-task and prioritize deadlines; result oriented 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 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 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. $130,000-$150,000 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. Ares Management Corporation (NYSE: ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit, real estate, private equity and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups, we aim to generate consistent and attractive investment returns throughout market cycles. As of March 31, 2024, Ares Management's global platform had approximately $428 billion of assets under management(1) with more than 2,900 employees operating across North America, Europe, Asia Pacific and the Middle East. For more information, please visit www.aresmgmt.com. Ares Management LLC (together with its related operating and administrative subsidiaries, “Ares Management”) is an Equal Employment Opportunity employer and considers all applicants for employment without regard to race, color, religion, ethnicity, creed, sex, age, national origin, alienage or citizenship status, disability, medical condition, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, transgender status, genetic information, status as unemployed, political affiliation or any other characteristic protected by federal, state or local law. Ares Management will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance. (1) As of March 31, 2024. AUM amounts include funds managed by Ivy Hill Asset Management, LP., a wholly owned portfolio company of Ares Capital Corporation and registered investment adviser.

Job Summary

JOB TYPE

Full Time

SALARY

$132k-173k (estimate)

POST DATE

05/16/2024

EXPIRATION DATE

07/14/2024

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