Associate Vice President, Compliance-- Conflicts Management

Ares Management

Los Angeles (CA)

On-site

USD 145,000 - 195,000

Full time

14 days+

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Benefits offered by this job

Comprehensive Medical/Rx, Dental and V

401(k) with company match

Flexible Savings Accounts (FSA)

Healthcare Savings Accounts (HSA) with

Life Insurance

Long-Term Disability (LTD) and Short-

Employee Assistance Program (EAP)

Commuter Benefits plan

Job summary

Ares Management in Los Angeles is seeking a Compliance Associate Vice President to lead the conflicts management program and oversee executive officers and other designated access persons. You will identify and mitigate conflicts of interest arising from personal trading and outside business activities while ensuring adherence to the Code of Ethics and regulatory requirements.

The role offers exposure to firm-wide investment activity and governance matters, collaborating with Legal, Compliance,

Qualifications

8-12 + years of experience in compliance, legal, or regulatory roles within asset management, private equity, or investment management.
Strong understanding of the Investment Advisers Act or 1940, including Rule 204A-1 (Code of Ethics), and familiarity with the Investment Company Act of 1940 and related SEC guidance.
Experience advising on conflicts of interest, personal trading, private investment and outside business activity reviews.
Familiarity with investment committee processes and governance frameworks.
High attention to detail and ability to manage multiple concurrent reviews.
Excellent communication and interpersonal skills across teams and seniority levels.
Ability to work independently and prioritize in a fast-paced environment.

Responsibilities

Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, assessing alignment with internal policies
Identify and analyze conflicts arising from employee personal trading, private investments, and outside business activities
Review personal disclosures, pre-clearance requests, and certifications for consistency with firm policies and regulatory standards
Coordinate with investment professionals to gather deal information and clarify potential areas of concern
Collaborate with Fund Legal teams to ensure fund document requirements are being properly addressed and that there is a consistent application of conflict protocols
Advise business personnel on the application of the Ares Code of Ethics, conflicts policies, and related governance requirements.
Coordinate with Legal and Compliance teams and business stakeholders regarding information barriers, restricted list matters, and other conflict mitigation measures, as appropriate.
Track and manage the pipeline of private investment opportunity requests requiring compliance review
Prepare and present conflict assessments to senior management for review and clearance
Maintain detailed records of conflict reviews, decisions, and ongoing monitoring requirements
Support conflict management efforts by identifying potential reputational, legal, or regulatory risks and recommending mitigation strategies
Contribute to the development and refinement of risk management frameworks related to conflicts oversight and personal investment activities
Assist with regulatory examinations, internal audits, and periodic reviews relating to conflicts management and the Code of Ethics
Support the development, implementation, and enhancement of policies and procedures governing conflicts management and personal investment activities

Skills

Analytical skills

Regulatory awareness

Collaborative mindset

Communication skills

Independent work

Education

Bachelor's degree

JD or advanced degree

Job description

Job Description

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.

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 a Compliance Associate Vice President to support the firm’s enterprise-wide conflicts management program, including oversight of executive officers and other designated access persons, with a focus on identifying and managing potential conflicts of interest related to personal investment activities and outside business activities. This role sits within the Compliance Department and serves as a key liaison between senior management, investment teams, Legal, and the Conflicts Review Group. The Associate Vice President will help ensure that proposed transactions align with the Ares Code of Ethics, regulatory obligations, and internal governance standards.

This position offers exposure to firm-wide investment activity and governance matters and is ideal for candidates with strong analytical skills, regulatory awareness, and a collaborative mindset.

Responsibilities

Conduct conflict checks on proposed transactions involving executive officers and other designated access persons, assessing alignment with internal policies
Identify and analyze conflicts arising from employee personal trading, private investments, and outside business activities
Review personal disclosures, pre-clearance requests, and certifications for consistency with firm policies and regulatory standards
Coordinate with investment professionals to gather deal information and clarify potential areas of concern
Collaborate with Fund Legal teams to ensure fund document requirements are being properly addressed and that there is a consistent application of conflict protocols
Advise business personnel on the application of the Ares Code of Ethics, conflicts policies, and related governance requirements.
Coordinate with Legal and Compliance teams and business stakeholders regarding information barriers, restricted list matters, and other conflict mitigation measures, as appropriate.
Track and manage the pipeline of private investment opportunity requests requiring compliance review
Prepare and present conflict assessments to senior management for review and clearance
Maintain detailed records of conflict reviews, decisions, and ongoing monitoring requirements
Support conflict management efforts by identifying potential reputational, legal, or regulatory risks and recommending mitigation strategies
Contribute to the development and refinement of risk management frameworks related to conflicts oversight and personal investment activities
Assist with regulatory examinations, internal audits, and periodic reviews relating to conflicts management and the Code of Ethics
Support the development, implementation, and enhancement of policies and procedures governing conflicts management and personal investment activities

Reporting to:

Managing Director, Head of Conflicts Management and Trade Surveillance Compliance

Education

Bachelor’s degree required; JD or advanced degree preferred

Qualifications

8-12 + years of experience in compliance, legal, or regulatory roles within asset management, private equity, or investment management
Strong understanding of the Investment Advisers Act or 1940, including Rule 204A-1 (Code of Ethics), and familiarity with the Investment Company Act of 1940 and related SEC guidance
Experience advising on conflicts of interest, personal trading, private investment and outside business activity reviews.
Familiarity with investment committee processes and governance frameworks
High attention to detail and ability to manage multiple concurrent reviews
Excellent communication and interpersonal skills across teams and seniority levels
Ability to work independently and prioritize in a fast-paced environment

Reporting Relationships

Managing Director, Head of Conflicts Management and Trade Surveillance 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.

$145,000-$195,000

The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include: