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Vice President, Investment Adviser Compliance (JD required)
senior · Risk & Compliance
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
Ares' Legal & Compliance Department oversees the Firm's global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees global regulatory matters relating to the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulatory regimes.
Ares is seeking an experienced attorney to join its Legal & Compliance team as a Vice President – Investment Adviser Compliance. This is a unique opportunity to serve as a senior regulatory adviser supporting investment professionals on complex investment structuring and regulatory matters across Ares' global platform.
The successful candidate will work closely with investment professionals, Legal & Compliance colleagues and outside counsel to advise on novel transaction structures, investment allocation, conflicts management and other sophisticated adviser regulatory matters. The role requires sound judgment and the ability to provide practical regulatory advice that supports the business while appropriately managing regulatory risk. This is a highly visible position that offers significant responsibility and the opportunity to advise on transaction structures across multiple investment strategies and asset classes.
Primary Functions and Responsibilities
Specific responsibilities include, but are not limited to:
Advise investment professionals and Legal & Compliance colleagues on complex transaction structures and regulatory matters across the Ares platform.
Lead the regulatory analysis of sophisticated transactions involving multiple investment strategies, client types and asset classes.
Analyze issues arising under the Investment Advisers Act of 1940, Investment Company Act of 1940 and applicable SEC exemptive relief
Advise on affiliated transaction analyses, principal and cross transaction considerations, investment allocation matters and potential conflicts across the capital structure.
Develop commercially practical structuring alternatives that appropriately balance regulatory requirements, investor protection considerations and business objectives.
Partner directly with investment professionals, business stakeholders and outside counsel throughout the transaction lifecycle.
Draft regulatory analyses, memoranda, policies, guidance documents and training materials.
Design and enhance scalable governance frameworks, regulatory guidance and compliance processes for recurring regulatory issues.
Present analyses and recommendations to senior Legal & Compliance leadership and appropriately escalate significant regulatory issues.
Monitor legal and regulatory developments affecting investment advisers and assess their impact on the Firm.
Qualifications
Education:
Juris Doctor (J.D.) required with a strong academic background.
Experience Required:
Approximately 10+ years of relevant experience at a leading law firm and/or in-house with an alternative asset manager, private fund sponsor or other investment adviser.
Deep knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
Considerable experience with co-investment exemptive relief, affiliated transaction analysis and conflicts management.
Experience advising on sophisticated investment structures.
Demonstrated ability to partner effectively with investment professionals and advise across multiple alternative asset classes.
Experience interacting with senior business leaders, outside counsel and other key stakeholders.
General Requirements:
Outstanding analytical, communication and interpersonal skills.
Strong business judgment and a practical, solutions-oriented approach to regulatory issues.
Ability to independently analyze novel and complex fact patterns.
Demonstrated ability to influence transaction structures through practical, risk-based advice.
Ability to manage multiple sophisticated matters simultaneously in a fast-paced environment.
Strong sense of ownership, accountability and attention to detail.
Excellent organizational and project management skills with the ability to prioritize competing demands.
Ability to build credibility and trusted relationships with investment professionals and cross-functional stakeholders.
Sound judgment regarding issue escalation and risk management.
Entrepreneurial mindset with an interest in developing scalable governance processes and regulatory guidance.
Collaborative, self-directed and comfortable operating with a high degree of independence.
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.
Reporting Relationships
Managing Director, Head of Investment Adviser Compliance (Governance)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.
$250,000-$300,000
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.