AVP Corporate Compliance; Code of Ethics & Political Contributions

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 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 Associate Vice President to join our Conflicts Management and Trade Surveillance Compliance team to serve as a member of the Firm’s Code of Ethics Compliance program. The ideal candidate will bring demonstrated knowledge and experience across political contributions as it relates to compliance and best in class global Code of Ethics & forensic testing programs. This role will particularly focus on enhancement of compliance political contribution and lobbying 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 Responsibilities

Specific responsibilities include, but are not limited to:

• Administer, along with other team members, the Firm's Global Code of Ethics Program including political contributions, policies governing personal trading, gifts and entertainment, outside business activity, and conflicts of interest

• Act as lead to manage pre-clearance requests related to political contributions, gifts and entertainment, etc.

• Assess initial disclosure information for potential conflicts of interest

• Act as administrator and systems expert for the system Ares uses to administer the Code of Ethics and other global policies

• Manage the Firm’s lobbyist registrations and items of value requisitions related to government officials in coordination with the Firm’s Head of Financial Crime Prevention

• Generate relevant metrics for management regarding Code of Ethics supervisory activities

• Identify, investigate, and properly address potential or actual violations

• Supervise certain tasks performed by third party compliance support providers and help provide continuous training to improve the process

• Facilitate quarterly, annual, and ad hoc policy certifications

• Act as one of the primary contacts for responding to policy questions, mostly related to the Code of Ethics

• Identify, present recommendations, and ultimately implement solutions for improving processes within the program to build efficiencies and improve workflows

• Maintain strong working knowledge of the firm's compliance policies and procedures

• Appropriately escalation material compliance issues

Qualifications

Education:

• Bachelor’s Degree required

• Advanced Degree preferred

Experience

Required:

• 7+ years of Finance industry experience in Compliance, with experience at a global asset management firm a plus

• 7+ years of Code of Ethics related work with a strong understanding of political contributions is required

• 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

• Proven people leader – hiring, developing, and fostering talent; building high-performing and…