Associate Vice President, Corporate Compliance (Code of Ethics)

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 DescriptionThe Ares Legal and 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; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; and Financial Crime Prevention, which oversees Ares' adherence to financial crimes-related rules and regulations. Ares is seeking an Assistant Vice President to join our Compliance team to serve as a member of the Firm's Investment Adviser Compliance (Code of Ethics) program. The ideal candidate will bring a balance of strong management skills and experience managing a team with a demonstrated knowledge of and experience with compliance with a global Code of Ethics program, including a forensic testing program. This role will particularly focus on enhancement of policies, procedures and technology of the Firm's Global Code of Ethics program in coordination with the Heads of Compliance for EMEA and APAC.Primary Functions and Essential ResponsibilitiesSpecific responsibilities include, but are not limited to : Administer, along with other team members, the Firm's Global Code of Ethics Program including policies governing personal trading, gifts and entertainment, outside business activity, political contributions, and conflicts of interestManage covered securities pre-clearance requestsAssist in the review for other policy requests related to political contributions, gifts and entertainment, outside business activity, etc.Act as a lead for the global training program for the Legal and Compliance Department and assist with the development of compliance training materialsAssess initial disclosure information for potential conflicts of interestAct as administrator and systems expert for the system Ares uses to administer the Code of Ethics and other global policiesCoordinate the team's work with brokers for addition of new brokerage accounts or to code new broker feeds into compliance systemAssist with the Firm's lobbyist registrations and GMETL requisitions related to government officials in coordination with the Firm's Head of Financial Crime PreventionGenerate relevant metrics for management regarding Code of Ethics supervisory activitiesIdentify, investigate, and properly address potential or actual violationsSupervise certain tasks performed by third party compliance support providers and help provide continuous training to improve the processFacilitate quarterly, annual, and ad hoc policy certificationsAct as one of the primary contacts for responding to policy questions, mostly related to the Code of EthicsIdentify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflowsMaintain strong working knowledge of the firm's compliance policies and proceduresAppropriately escalate material compliance issuesQualificationsEducation : Bachelor's Degree requiredAdvanced Degree preferredExperience Required : 7 years of Finance industry experience in Compliance, with experience at a global asset management firm a plus7 years of Code of Ethics related workA strong understanding of SEC regulations, with a particular focus on the Investment Advisers Act of 1940Experience with non-U.S. regulatory requirements for investment managersProven people leader - hiring, developing, and fostering talent; building high-performing and well-coordinated teams; driving change across scaled and global teamsAbility to effectively partner with global staff inside and outside of the departmentProven ability to develop long-term strategy, reflecting multiple dimensions (business compliance / controls, people, and culture) and supporting multiple objectivesExceptional critical thinkerStrong business judgmentAbility to manage up and communicate efficiently and effectivelyProficiency with Microsoft Office Suite (Excel, Word, PowerPoint)General Requirements : Strong management skills, including proven experience of managing and / or collaborating with teams in remote locations to ensure efficiency, effectiveness, and high level of supervisory oversightStrong sense of ownership and accountabilityAbility to manage up and instinctively know when to escalate risks, concerns, issues and / or various messagesExpertise with SEC regulatory review and interpretation of regulationsAbility to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environmentAbility to successfully manage multiple priorities and competing demands; result orientedHigh accuracy and detail orientationOrganizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completionExcellent communication and client service skills; capability of interacting with key stakeholders to direct prioritization of program related activityStrong written, verbal and interpersonal skillsAn analytical mind and a passion / interest in bringing new ideas to increase efficiency of existing processesExperience and ability to proactively and continuously identify and analyze problem situations to develop an effective and improve course of action for resolutionAbility to be flexible in terms of hours in order to coordinate with team members across time zonesComfort in dealing with ambiguity and uncertainty in a dynamic environmentDependable, great attitude, highly motivated and a team playerAbility to handle confidential information appropriatelyReporting RelationshipsPrincipal, RIA Compliance (Code of Ethics)CompensationThe 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.$155,000-$190,000The 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.

Salary : $155,000 - $190,000