AVP, Conflicts Management & Ethics Compliance

Ares Management; New York (NY); On-site; USD 145,000 - 195,000; Full time

Benefits offered by this job

Medical/Dental/Vision

401(k) matching

FSA/HSA

Life Insurance

Disability Insurance

EAP

Commuter Benefits

Education sponsorship

Job summary

Ares Management seeks a Compliance Associate Vice President to support enterprise-wide conflicts management, including oversight of executive officers and designated access persons. You will help ensure transactions align with the Code of Ethics, regulatory obligations, and internal governance standards.

This role offers exposure to firm-wide investment activity and governance matters, requiring strong analytical skills, regulatory awareness, and a collaborative mindset.

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 and SEC guidance.
• Experience advising on conflicts of interest, personal trading, private investment and outside business activity reviews.
• Excellent communication and interpersonal skills across teams and seniority levels.

Responsibilities

• Conduct conflict checks on proposed transactions involving executive officers and designated access persons.
• Identify and analyze conflicts from employee personal trading, private investments, and outside business activities.
• Review personal disclosures, pre-clearance requests, and certifications for consistency with 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 addressed and apply conflict protocols consistently.
• Advise business personnel on the application of the Code of Ethics, conflicts policies, and governance requirements.
• Coordinate with Legal and Compliance teams and stakeholders regarding information barriers and other conflict mitigation measures.
• Track and manage the pipeline of private investment opportunity reviews requiring compliance.
• 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 reputational, legal, or regulatory risks and mitigation strategies.
• Contribute to 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 development and enhancement of policies governing conflicts management and personal investment activities.

Skills

Analytical skills

Regulatory awareness

Communication

Interpersonal skills

Independent worker

Education

Bachelor’s degree

JD or advanced degree preferred

Job description

Ares Management seeks a Compliance Associate Vice President to support enterprise-wide conflicts management, including oversight of executive officers and designated access persons. You will help ensure transactions align with the Code of Ethics, regulatory obligations, and internal governance standards.

This role offers exposure to firm-wide investment activity and governance matters, requiring strong analytical skills, regulatory awareness, and a collaborative mindset.