AVP, Conflicts Management & Compliance

Ares Management; Los Angeles (CA); On-site; USD 145,000 - 195,000; Full time

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

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,