AVP, Conflicts Management & Compliance

Ares Management Corporation

Los Angeles (CA)

On-site

USD 145,000 - 195,000

Full time

14 days+

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Job summary

Ares Management Corporation is seeking a Compliance Associate Vice President to lead conflicts management across the firm, reporting to the Managing Director, Head of Conflicts Management and Trade Surveillance Compliance in Los Angeles. The role focuses on personal investment activity, outside business activities, and ensuring adherence to the Code of Ethics and regulatory obligations.

You will partner with Legal, Investment teams, and the Conflicts Review Group to review disclosures,

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).
Familiarity with the Investment Company Act of 1940 and related SEC guidance.

Responsibilities

Conduct conflict checks on proposed transactions involving executive officers and other designated access persons.
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.
Advise business personnel on the application of the Ares Code of Ethics, conflicts policies, and related governance requirements.
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.