VP Investment Adviser Compliance Attorney (JD) - Ares
Overview
You will own investment adviser compliance for Ares' global platform, advising on complex transaction structures and regulatory matters under the Investment Advisers Act of 1940 and Investment Company Act of 1940. You will partner with investment professionals and Legal & Compliance colleagues to analyze affiliated transactions, conflicts, and allocation issues. Your work shapes scalable governance frameworks for recurring regulatory issues. This role offers senior visibility and the chance to influence high-stakes deals across multiple asset classes.
What You'll Do10
- 1Advise investment professionals and Legal & Compliance colleagues on complex transaction structures and regulatory matters across the Ares platform.
- 2Lead regulatory analysis of sophisticated transactions involving multiple investment strategies, client types, and asset classes.
- 3Analyze issues under the Investment Advisers Act of 1940 and Investment Company Act of 1940, including applicable SEC exemptive relief.
- 4Advise on affiliated transaction analyses, principal and cross transaction considerations, investment allocation matters, and potential conflicts across the capital structure.
- 5Develop commercially practical structuring alternatives that balance regulatory requirements, investor protection, and business objectives.
- 6Partner with investment professionals, business stakeholders, and outside counsel throughout the transaction lifecycle.
- 7Draft regulatory analyses, memoranda, policies, guidance documents, and training materials.
- 8Design and enhance scalable governance frameworks, regulatory guidance, and compliance processes for recurring regulatory issues.
- 9Present analyses and recommendations to senior Legal & Compliance leadership and escalate significant regulatory issues.
- 10Monitor legal and regulatory developments affecting investment advisers and assess their impact on the firm.
Requirements21
- 1Juris Doctor (J.D.) required with strong academic background.
- 210+ years relevant experience at a leading law firm and/or in-house with an alternative asset manager, private fund sponsor, or investment adviser.
- 3Deep knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
- 4Considerable experience with co-investment exemptive relief, affiliated transaction analysis, and conflicts management.
- 5Experience advising on sophisticated investment structures.
- 6Proven ability to partner with investment professionals and advise across multiple alternative asset classes.
- 7Experience interacting with senior business leaders, outside counsel, and other key stakeholders.
- 8Outstanding analytical, communication, and interpersonal skills.
- 9Strong business judgment and practical, solutions-oriented approach to regulatory issues.
- 10Ability to independently analyze novel and complex fact patterns.
- 11Demonstrated ability to influence transaction structures through risk-based advice.
- 12Ability to manage multiple sophisticated matters simultaneously.
- 13Strong sense of ownership, accountability, and attention to detail.
- 14Excellent organizational and project management skills with ability to prioritize competing demands.
- 15Ability to build credibility and trusted relationships with investment professionals and cross-functional stakeholders.
- 16Sound judgment regarding issue escalation and risk management.
- 17Entrepreneurial mindset with interest in developing scalable governance processes and regulatory guidance.
- 18Collaborative, self-directed, and comfortable operating with high degree of independence.
- 19Flexible in terms of hours to coordinate with team members across time zones.
- 20Comfort with ambiguity and uncertainty in a dynamic environment.
- 21Dependable, great attitude, highly motivated, and a team player.
Salary Insight
$250 - $300k per year
Location
Required Skills
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