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 serve as its Head of Regulatory Reporting. The ideal candidate will be responsible for ensuring preparation and delivery of accurate and timely filings to the Firm’s regulators. The ideal candidate will particularly focus on filings to the SEC and CFTC with close work with the global compliance team to coordinate filings across all various jurisdictions. The ideal candidate will also be responsible to build and lead a coordinated global regulatory reporting program with a focus on strategically updating technology and processes used to complete all filings.

Primary Functions and Essential Responsibilities

Specific responsibilities include, but are not limited to:

• Serve as the primary subject matter expert with respect to regulatory submissions to the SEC, CFTC and other primary regulators pursuant to the Investment Advisers Act of 1940 and related securities regulations and exemptions

• Responsible for regulatory submissions focused on high quality data submissions in a controlled governance framework under strict timeframes in accordance with applicable regulations

• Drive the Firm’s strategic initiative to leverage new and enhanced technology and workflow processes to manage complex data across the Regulatory Reporting platform

• Work collaboratively with cross-functional members of the Firm’s global Finance & Accounting, Investment Operations, Legal, and Technology departments to ensure effective and efficient operations of the Regulatory Reporting program

• Work with leaders throughout the enterprise to respond to regulatory inquiries and examinations, as applicable

• Coordinate with members of the global Compliance team to drive efficiency across data provided to regulators across all jurisdictions

• Develop and document controls supporting the Regulatory Reporting program, including review of work delivered by domestic and international Regulatory Reporting team members

• Work collaboratively across the senior leadership team and functional teams within the Legal & Compliance department to ensure effective and efficient operations

• Act as a change agent by improving and defining the systems and processes that make up the Regulatory Reporting function

• Provide leadership, training, and support to the Regulatory Reporting team; ensure the team is aligned around consistent processes, systems and reporting strategies

The ideal candidate will have the ability to:

• Create and execute a holistic reporting strategy while also focusing on operational excellence

• Establish high standards of excellence amongst the Regulatory Reporting team

• Navigate and drive change in a fast-paced and at times, ambiguous, environment

• Build credibility and bring true subject matter expertise to the Legal & Compliance function

• Proven success at building credibility quickly at all levels of the organization

• Operate in an entrepreneurial and collaborative spirit; self- motivated and driven

And demonstrate exceptional:

• Leadership and management skills, including engaging and motivating people, providing coaching and feedback, and leading performance management and compensation processes

• Communication skills and the ability to influence and develop strong relationships within Legal & Compliance, a