Associate Vice President, Compliance Testing & Monitoring

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 Compliance Department oversees and manages Ares’ global regulatory compliance and ethics program. Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance Department is comprised of functionally and business-aligned teams that operate collaboratively based on the Firm’s overall structure: Investment Adviser Compliance, which oversees implementation of global policies and procedures as well as Regulatory Reporting and Compliance testing; Marketing & Distribution Compliance, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Regulated Funds Compliance, which oversees the compliance for advised and sub-advised registered funds and public companies; Information Management and Trade Surveillance Compliance, which administers the Code of Ethics, Control Room and trade surveillance program; Financial Crime Prevention, which administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives; and the EMEA and APAC-based Compliance programs. Ares is seeking a Monitoring & Testing associate vice president to join our Compliance team. The ideal candidate will play a key role in assessing the firm’s adherence to regulatory requirements and internal policies through comprehensive reviews and risk evaluations. The ideal candidate will identify potential compliance risks, investigate breaches, and partner with Compliance policy owners in recommending effective corrective actions. This role also includes oversight of critical components of the firm’s monitoring and testing program, with a strategic focus on enhancing the overall compliance framework. Reporting relationships Reports to: Vice President, Compliance Monitoring & Testing Supervises: n/a Primary functions & responsibilities Conduct and oversee ongoing compliance testing across all relevant areas, including the handling of inside information and material non-public information, adherence to the code of ethics, marketing and advertising practices, electronic communications, and social media activities Review electronic surveillance findings, collaborate with policy owners, and manage reporting and detailed testing workpapers that support findings and outcome Identify compliance risks and control deficiencies, and recommend corrective actions and enhancements based on testing results Utilize strong communication skills to collaborate effectively with compliance teams, senior business management, and oversee third-party service providers Lead and participate in special projects aimed at enhancing efficiency in testing, centralizing compliance testing, and improving the monitoring and testing program Qualifications Education: Bachelor's degree required Advanced Degree preferred Experience Required: 5-8 years of Finance industry experience in Compliance, with experience at a global asset management firm a plus Understanding of control frameworks and risk assessment analysis Experienced business writer with proven ability to provide clear and concise descriptions of work performed and conclusions reached. Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, and the Investment Company Act of 1940 is preferred Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, compliance consulting firm, or regulator preferred General Requirements: Detail-oriented, robust analytical, investigative and problem-solving skills. Strong interpersonal, communication, and organizational skills, with the ability to manage up Flexible to changing business priorities and ability to multitask in a constantly changing environment. Ability to work both independently and collaboratively within a team environment. Ability to manage multiple assignments simultaneously with minimal supervision. Demonstrate flexibility in working hours to effectively coordinate with team members across multiple time zones Proficient in Excel, PowerPoint, MS Access, and other MS Office applications Reporting Relationships Vice President, Investment Adviser Compliance 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. $135,000-$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. 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, 2025, Ares Management's global platform had approximately $546 billion of assets under management(1) with more than 4,100 employees operating across North America, South 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, 2025. AUM amounts include funds managed by Ivy Hill Asset Management, LP., a wholly owned portfolio company of Ares Capital Corporation and registered investment adviser.

Salary : $135,000 - $175,000