Ares Management Corporation
Vice President, Broker Dealer Compliance
Ares Management Corporation - New York, New York, us, 10261
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Overview
Vice President, Broker Dealer Compliance page is loaded Vice President, Broker Dealer Compliance Apply locations New York, NY time type Full time posted on Posted 2 Days Ago job requisition id R6616
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 Compliance Department oversees and leads Ares’ global regulatory compliance and ethics program. Under the leadership of the Global Chief Compliance Officer, the Compliance Department is comprised of functionally aligned teams that operate collaboratively based on the Firm’s overall structure and include the following: Investment Advisory, which oversees implementation of investment management, trading and conflicts policies; Marketing & Distribution, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Registered Products, which oversees the compliance for advised and sub-advised registered funds and public companies; Corporate Compliance, which administers the Code of Conduct and oversees the global and surveillance program; AML-CTF, which develops and administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations and Regulatory Reporting, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives. The Ares Compliance Department is currently seeking a Vice President, Broker Dealer Operations to support the growing Capital Markets business and Broker Dealer Program in the oversight, monitoring and implementation of Ares Management Capital Markets, LLC.’s (“AMCM”) day-to-day FINRA compliance program, including with respect to AMCM’s on-going business and advised funds. The VP of Compliance will focus on Capital Markets activities and broker dealer compliance and work to ensure AMCM activities are conducted in accordance with its compliance program, policies, and procedures as well as applicable federal and state laws. The VP for Compliance will also work cross functionally within the broader compliance department to seek efficiencies and collaboration across the program’s broader regulatory framework. Reporting relationships Reports to: Chief Compliance Officer, Ares Management Capital Markets LLC Supervises: n/a Primary functions & responsibilities PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES Have a strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines as it pertains to Capital Markets and broker dealer compliance program administration.
Provide strategic vision to the development and continued build out of an Investment Banking Compliance program.
Relevant experience in investment banking, particularly in public and private offerings of equity and debt securities.
Expertise in navigating complex capital markets transactions.
Ensuring all activities and operations within the broker-dealer and capital markets division comply with applicable laws, regulations, and internal policies.
Assist AMCM’s Chief Compliance Officer (“CCO”) in the development and implementation of an effective and efficient FINRA compliance management program: Preparing and executing the 3130 annual FINRA testing and certification process
Oversee required regulatory filings on behalf of the broker-dealer
Oversee associated person registration process, utilize FINRA’s Web CRD to file U4s and U5s, and prepare ad hoc reports as needed
Monitor the FINRA regulatory landscape to identify existing and emerging regulatory guidance and risks relevant to AMCM
Evaluate new investment products proposed for distribution by AMCM with a focus on issue spotting on behalf of the broker dealer
Manage AMCM’s Annual Compliance meeting process, including content preparation, meeting scheduling, and presentation to key stakeholders
Manage AMCM’s annual Firm Element Continuing Education process, including vendor coordination, “Needs Analysis”, content creation, program launch and monitoring for program completion
Analysis and execution of plans for monitoring security and privacy of data held by or transmitted to AMCM
Maintaining accurate records, and documenting compliance activities.
Assist in the development and implementation of an effective and efficient compliance management program (including compliance training, testing, and reporting)
Collaborate effectively across Ares businesses with a key focus on consistency and collaboration with compliance policies and procedures across Ares’ global program
Act as contract administrator for certain key corporate agreements, tracking compliance with all covenants applicable to AMCM
Assist with responses to due diligence requests
Qualifications Education: Bachelor's Degree required Experience Required: Minimum of 10 years of prior experience in a broker-dealer, investment adviser compliance or securities regulator role with an emphasis on Capital Markets activities.
General Requirements: Capital markets experience + FINRA Series 7 and 79 are required. (FINRA Series 24 is required or ability to obtain within 6 months of hire)
Experience with FINRA’s Web CRD filing portal
Ability to coordinate and present to all levels (from new hire training to C-level and board presentations)
Familiarity with compliance technology (ComplySci,, Star Compliance, Smarsh, Global Relay, etc.)
Strong analytic and compliance technology skills
Strong communication skills; both verbal and written
Ability to make independent decisions, work with minimal supervision and utilize discretion
Ability to work on multiple projects in a fast paced environment
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. $170,000-$230,000 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. Similar Jobs (3)
Vice President, Trade Surveillance Compliance locations 2 Locations time type Full time posted on Posted Yesterday Vice President, Code of Ethics Compliance locations 2 Locations time type Full time posted on Posted 16 Days Ago Vice President, Financial Crimes Prevention locations New York, NY time type Full time posted on Posted Today Ares Management Corporation (NYSE: ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit, real estate, private equity and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups, we aim to generate consistent and attractive investment returns throughout market cycles. As of March 31, 2025, Ares Management's global platform had approximately $546 billion of assets under management(1) with more than 4,100 employees operating across North America, South America, Europe, Asia Pacific and the Middle East. For more information, please visit www.aresmgmt.com . Ares Management LLC (together with its related operating and administrative subsidiaries, “Ares Management”) is an Equal Employment Opportunity employer and considers all applicants for employment without regard to race, color, religion, ethnicity, creed, sex, age, national origin, alienage or citizenship status, disability, medical condition, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, transgender status, genetic information, status as unemployed, political affiliation or any other characteristic protected by federal, state or local law. Ares Management will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance. (1) As of March 31, 2025. AUM amounts include funds managed by Ivy Hill Asset Management, LP., a wholly owned portfolio company of Ares Capital Corporation and registered investment adviser.
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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 Compliance Department oversees and leads Ares’ global regulatory compliance and ethics program. Under the leadership of the Global Chief Compliance Officer, the Compliance Department is comprised of functionally aligned teams that operate collaboratively based on the Firm’s overall structure and include the following: Investment Advisory, which oversees implementation of investment management, trading and conflicts policies; Marketing & Distribution, focusing on global marketing and investor relations, including compliance for Ares’ registered broker-dealers; Registered Products, which oversees the compliance for advised and sub-advised registered funds and public companies; Corporate Compliance, which administers the Code of Conduct and oversees the global and surveillance program; AML-CTF, which develops and administers Ares’ Global Anti-Money Laundering and Counter-Terrorism Financing Program; and Compliance Operations and Regulatory Reporting, which oversee the department’s operational and reporting functions with a focus on regulatory reporting and management of strategic initiatives. The Ares Compliance Department is currently seeking a Vice President, Broker Dealer Operations to support the growing Capital Markets business and Broker Dealer Program in the oversight, monitoring and implementation of Ares Management Capital Markets, LLC.’s (“AMCM”) day-to-day FINRA compliance program, including with respect to AMCM’s on-going business and advised funds. The VP of Compliance will focus on Capital Markets activities and broker dealer compliance and work to ensure AMCM activities are conducted in accordance with its compliance program, policies, and procedures as well as applicable federal and state laws. The VP for Compliance will also work cross functionally within the broader compliance department to seek efficiencies and collaboration across the program’s broader regulatory framework. Reporting relationships Reports to: Chief Compliance Officer, Ares Management Capital Markets LLC Supervises: n/a Primary functions & responsibilities PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES Have a strong understanding of FINRA, SEC and other relevant regulatory rules, regulations and guidelines as it pertains to Capital Markets and broker dealer compliance program administration.
Provide strategic vision to the development and continued build out of an Investment Banking Compliance program.
Relevant experience in investment banking, particularly in public and private offerings of equity and debt securities.
Expertise in navigating complex capital markets transactions.
Ensuring all activities and operations within the broker-dealer and capital markets division comply with applicable laws, regulations, and internal policies.
Assist AMCM’s Chief Compliance Officer (“CCO”) in the development and implementation of an effective and efficient FINRA compliance management program: Preparing and executing the 3130 annual FINRA testing and certification process
Oversee required regulatory filings on behalf of the broker-dealer
Oversee associated person registration process, utilize FINRA’s Web CRD to file U4s and U5s, and prepare ad hoc reports as needed
Monitor the FINRA regulatory landscape to identify existing and emerging regulatory guidance and risks relevant to AMCM
Evaluate new investment products proposed for distribution by AMCM with a focus on issue spotting on behalf of the broker dealer
Manage AMCM’s Annual Compliance meeting process, including content preparation, meeting scheduling, and presentation to key stakeholders
Manage AMCM’s annual Firm Element Continuing Education process, including vendor coordination, “Needs Analysis”, content creation, program launch and monitoring for program completion
Analysis and execution of plans for monitoring security and privacy of data held by or transmitted to AMCM
Maintaining accurate records, and documenting compliance activities.
Assist in the development and implementation of an effective and efficient compliance management program (including compliance training, testing, and reporting)
Collaborate effectively across Ares businesses with a key focus on consistency and collaboration with compliance policies and procedures across Ares’ global program
Act as contract administrator for certain key corporate agreements, tracking compliance with all covenants applicable to AMCM
Assist with responses to due diligence requests
Qualifications Education: Bachelor's Degree required Experience Required: Minimum of 10 years of prior experience in a broker-dealer, investment adviser compliance or securities regulator role with an emphasis on Capital Markets activities.
General Requirements: Capital markets experience + FINRA Series 7 and 79 are required. (FINRA Series 24 is required or ability to obtain within 6 months of hire)
Experience with FINRA’s Web CRD filing portal
Ability to coordinate and present to all levels (from new hire training to C-level and board presentations)
Familiarity with compliance technology (ComplySci,, Star Compliance, Smarsh, Global Relay, etc.)
Strong analytic and compliance technology skills
Strong communication skills; both verbal and written
Ability to make independent decisions, work with minimal supervision and utilize discretion
Ability to work on multiple projects in a fast paced environment
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. $170,000-$230,000 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. Similar Jobs (3)
Vice President, Trade Surveillance Compliance locations 2 Locations time type Full time posted on Posted Yesterday Vice President, Code of Ethics Compliance locations 2 Locations time type Full time posted on Posted 16 Days Ago Vice President, Financial Crimes Prevention locations New York, NY time type Full time posted on Posted Today Ares Management Corporation (NYSE: ARES) is a leading global alternative investment manager offering clients complementary primary and secondary investment solutions across the credit, real estate, private equity and infrastructure asset classes. We seek to provide flexible capital to support businesses and create value for our stakeholders and within our communities. By collaborating across our investment groups, we aim to generate consistent and attractive investment returns throughout market cycles. As of March 31, 2025, Ares Management's global platform had approximately $546 billion of assets under management(1) with more than 4,100 employees operating across North America, South America, Europe, Asia Pacific and the Middle East. For more information, please visit www.aresmgmt.com . Ares Management LLC (together with its related operating and administrative subsidiaries, “Ares Management”) is an Equal Employment Opportunity employer and considers all applicants for employment without regard to race, color, religion, ethnicity, creed, sex, age, national origin, alienage or citizenship status, disability, medical condition, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, transgender status, genetic information, status as unemployed, political affiliation or any other characteristic protected by federal, state or local law. Ares Management will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance. (1) As of March 31, 2025. AUM amounts include funds managed by Ivy Hill Asset Management, LP., a wholly owned portfolio company of Ares Capital Corporation and registered investment adviser.
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