Jobs
>
New York City

    Managing Director, Head of Investment Adviser Compliance - New York, United States - Ares Management

    Ares Management
    Ares Management New York, United States

    3 weeks ago

    Default job background
    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.

    Job Description

    The Ares Legal & 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; Corporate Compliance, which administers global policies and central compliance and oversight functions; and Financial Crimes, which oversees Ares' adherence to financial crimes-related rules and regulations.

    Ares is seeking a talented Compliance professional to join our Compliance team to serve as a senior team member creating and managing the Firm's Registered Investment Adviser program. The ideal candidate will bring a balance of strong management skills and experience managing a broad team with a demonstrated knowledge of and experience with compliance with complex regulatory regimes including oversight of the Firm's Compliance program, including oversight of the Firm's Regulatory Reporting program. As a Compliance leader, the Head of Registered Investment Adviser Compliance will particularly focus on the implementation and maintenance of core RIA program across all business strategies across the organization with oversight and coordination of applicable regulatory examinations. The candidate will also be responsible for ensuring cohesive administration of the Firm's Compliance program across the Firm's strategic partnerships.

    Primary Functions and Responsibilities

    Specific responsibilities include, but are not limited to:
    • Actively engage with the Chief Regulatory Officer to assist in directing the Compliance function throughout the organization
    • Provide consistent and ongoing Compliance guidance, partner and advise with the respective Compliance leads and their client groups on regulatory policies and procedures; proactively provide trends and analyses relating to Compliance-related activities
    • Develop, maintain and broaden effective working relationships across the organization and within the Compliance Department
    • Present key findings and recommendations to senior leadership. Elevate issues, identify priorities and track follow-on items to ensure they are appropriately resolved. Demonstrate initiative and creativity in independently recommending and implementing solutions to business contacts, senior leaders and Compliance leadership.
    • Administer and continually improve the organization's Global Compliance program with particular focus on developing a technology plan to improve workflow efficiencies
    • Proactively develop, implement, and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations
    • Maintain and demonstrate a thorough understanding of the regulations applicable to investment related activities and stay abreast of legal and regulatory developments; research and determine impact of new or revised laws and regulations on the firm's business; work with the Investment Advisory, Marketing & Distribution, Registered Products, Global Financial Crimes team leads as well as the CCOs for EMEA and APAC to develop and present the Chief Regulatory Officer with new Compliance initiatives as Regulatory, Compliance and business needs evolve
    • Coordinate effective analysis and integration of Ares' strategic partnerships into the Firm's existing compliance framework
    • Manage, coordinate, and conduct comprehensive Compliance periodic reviews, annual reviews, and risk assessment as appropriate
    • Identify conflicts of interest and business practices that may create risk exposure and adequately address such risk in the Firm's policies and procedures
    • Identify potential areas of vulnerability and risk while developing controls to mitigate risks
    • Ensure procedures are appropriately implemented and documented in accordance with the Firm's compliance manuals and written supervisory procedures
    • Serve as a change agent while leading projects and strategic initiatives relating to the enhancement of Compliance policies, procedures, internal controls, systems, etc.
    • Assist the Global Chief Compliance Officer and Chief Regulatory Officer in regulatory examinations and investigations, as appropriate
    • Assist in creating and developing a high-performing and efficient Investment Advisor function
    • Work with other leaders throughout the team to help drive a positive culture of accountability amongst department leaders, stakeholders and within the internal Compliance team
    • In partnership with the Global Chief Compliance Officer and Chief Regulatory Officer, participate in various firm risk-based committees and management meetings, as required
    Qualifications

    Education:
    • Bachelor's Degree required
    • Advanced Degree / Juris Doctor preferred
    Experience Required:
    • 15+ years of Finance industry experience in Compliance with experience at a global asset management firm a plus
    • 15+ years of relevant investment advisory compliance leadership experience
    • A strong understanding of SEC regulations, with a particular focus on the Investment Advisers Act of 1940
    • Experience with non-U.S. regulatory requirements for investment managers
    • Detailed knowledge of relevant regulatory requirements and industry standards
    • Direct experience in managing regulatory dialogues, coordinating regulatory examinations, and responding to inquiries
    • Proven people leader - hiring, developing, and fostering talent; building high-performing and well-coordinated teams; driving change across scaled and global teams
    • Ability to effectively partner with investment professionals and develop a deep understanding of investment products; ability to influence
    • Proven ability to develop long-term strategy, reflecting multiple dimensions (business compliance/controls, people, and culture) and supporting multiple objectives
    • Exceptional critical thinker
    • Strong business judgment
    • Ability to manage up and communicated efficiently and effectively
    General Requirements:
    • Exceptional communication skills
    • Strong management skills, including proven experience of managing and/or collaborating with teams in remote locations to ensure efficiency, effectiveness, and high level of supervisory oversight
    • Excellent analytical skills
    • Strong sense of ownership and accountability
    • Ability to manage up and instinctively know when to escalate risks, concerns, issues and/or various messages
    • Strong understanding of investment adviser industry including U.S. and global securities laws including the Investment Advisers Act
    • Expertise with SEC regulatory review and interpretation of regulations
    • Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment
    • Ability to successfully manage multiple priorities and competing demands; result oriented
    • High accuracy and detail orientation
    • Ability to multi-task and prioritize deadlines; result oriented
    • Organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion
    • Excellent communication and client service skills; capability of interacting with key stakeholders to direct prioritization of program related activity
    • An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes
    • Experience and ability to proactively and continuously identify and analyze problem situations to develop an effective and improve course of action for resolution
    • 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
    • Ability to handle confidential information appropriately
    Reporting Relationships

    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.
  • Ares Management

    AVP, Investment Adviser Compliance

    2 weeks ago

    Ares Management New York, United States

    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. T ...

  • Ares Management

    AVP, Investment Adviser Compliance

    2 weeks ago

    Ares Management New York, United States

    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. T ...

  • Ares Management Corporation

    Associate Vice President, Investment Adviser Compliance

    1 week ago

    Ares Management Corporation New York, United States Full time

    Description · The Ares Legal & 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 operat ...

  • Blackstone Group

    Legal & Compliance - Marketing & Distribution

    2 weeks ago

    Blackstone Group New York, United States

    Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help c ...

  • NYC Careers

    Deputy General Counsel

    2 weeks ago

    NYC Careers New York, United States

    **Deputy General Counsel**: · - Apply**Deputy General Counsel**: · - Agency: BOARD OF CORRECTION · - Posted on: 04/17/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Board Staff · - Salary range: $115, $127, ABOUT THE ...

  • New York State Psychiatry Institute

    Research Compliance Officer

    2 weeks ago

    New York State Psychiatry Institute New York, United States

    **Job Title**: Research Compliance Officer · **Grade**: 37 · **Salary**: $167,905 - $190,003 · The Research Foundation for Mental Hygiene is seeking a qualified applicant to fill a full-time Research Compliance Officer position at the New York State Psychiatric Institute. · The R ...

  • United Way of New York City

    Avp, Legal Counsel

    2 weeks ago

    United Way of New York City New York, United States

    **Reports to**:Executive Vice President, Chief Legal Officer & Strategic Initiatives · **Organization Summary**: · United Way of New York City (UWNYC) is a nonprofit mobilizing people and organizations to eradicate barriers and create opportunities that improve the lives of low-i ...

  • Barclays

    Financial Crime Compliance Officer Legal Rules and

    2 weeks ago

    Barclays New York, United States

    **Financial Crime Compliance Officer Legal Rules and Regulations Vice President** · **New York, NY** · As a Barclays Financial Crime Compliance Officer Legal Rules and Regulations Vice President, you will be directly assisting the Americas Head of Financial Crimes. This is an opp ...

  • Morgan Stanley

    Global Financial Crimes: Institutional Securities

    2 weeks ago

    Morgan Stanley New York, United States

    Discover your next career opportunity with Morgan Stanley, where we are committed to helping our employees build meaningful careers, and where you can learn, achieve, and grow. Across the globe, we believe our greatest asset is our people. As part of our commitment to excellence, ...

  • EF Hutton

    Wealth Management Compliance Specialist

    3 weeks ago

    EF Hutton New York, United States

    **The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...

  • NYC Careers

    General Counsel

    2 weeks ago

    NYC Careers Manhattan, United States

    **General Counsel**: · - Apply**General Counsel**: · - Agency: MAYORS OFFICE OF CONTRACT SVCS · - Posted on: 05/11/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Executive · - Salary range: $185, $200, The Mayor's Office ...

  • Empire Education Group

    Assistant Director

    2 weeks ago

    Empire Education Group Manhattan, United States

    Under the direction of the School Director, the Assistant Director acts as second-in-command to provide leadership in all operational, educational, compliance, admissions, and administrative areas within our Manhattan School. As the Assistant Director, you will work directly with ...

  • Bank of America

    Global Financial Crimes Manager

    3 weeks ago

    Bank of America New York, United States

    At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. · One of the keys t ...

  • Amex

    Director - B2B Product Risk Assessment and

    3 weeks ago

    Amex New York, United States

    **You Lead the Way. We've Got Your Back.** · With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, ...

  • Major League Soccer

    Manager, Player Relations

    2 weeks ago

    Major League Soccer New York, United States

    Overview: · The Manager, Player Relations will serve two department needs: · - Primarily support MLS Clubs in building and managing their respective rosters and to ensure compliance with League Rules. · - Secondarily support the department in general administrative matters (regis ...

  • PXP

    Business Affairs Manager

    3 weeks ago

    PXP New York, United States

    **Company Description** · PXP is Publicis Groupe's future-facing global content and production network, fully immersed in the realm of data, the technological revolution, and the platform-driven world. We craft and deliver impactful consumer experiences using cutting-edge creativ ...

  • Kohlberg Kravis Roberts & Co.

    Compliance Officer

    3 weeks ago

    Kohlberg Kravis Roberts & Co. New York, United States

    **COMPANY OVERVIEW** · KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplin ...

  • Barclays

    Fincrime Compliance Officer Legal Rules

    2 weeks ago

    Barclays New York, United States

    **FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President** · **New York, NY** · As a Barclays FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President (VP), you will be directly assisting the Americas Head of Financial ...

  • NYC Careers

    Associate General Counsel

    2 weeks ago

    NYC Careers Manhattan, United States

    **Associate General Counsel - Generalist**: · - Apply**Associate General Counsel - Generalist**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 04/16/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · General Counsel · ...

  • Citi

    Associate General Counsel

    2 weeks ago

    Citi New York, United States

    Citi is seeking a highly motivated attorney to join its Legal Department as an Associate General Counsel - C15 in its Bank Regulatory Legal ("BRL") Group. In this role, this attorney will provide U.S. bank regulatory legal advice to Citi's businesses and control functions, includ ...