Ares Management · 6 hours ago
Vice President Compliance, Marketing Material Review
Los Angeles, CA
Full-time
Hybrid
Senior Level, Lead/Staff
$175K/yr - $225K/yr
10+ years expAres Management is a leading global alternative investment manager committed to fostering a diverse and inclusive work environment. They are seeking a Vice President to oversee compliance related to marketing materials within their institutional and wealth businesses, ensuring adherence to regulatory guidelines and quality standards.
Asset ManagementBusiness DevelopmentCreditFinanceFinancial ServicesInsurance
Responsibilities
Provide primary compliance marketing review and oversight of marketing materials and business communications
Serve as primary liaison point between the Compliance team and the Investor Relations team
Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC and FINRA)
Monitor all submissions of materials in timely fashion and ensure the quality and timing of reviews
Assist with developing, revising, and implementing policies and procedures regarding marketing review activities and regulatory developments
Escalate issues to Principal or Managing Director, Compliance as needed
Qualification
Required
Bachelor's Degree required
Minimum of 10+ years of relevant financial services compliance experience with a focus on review of marketing materials for institutional, wealth and alternative products
Knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices
Working knowledge of or familiarity with SEC and FINRA regulatory reviews and interpretation of regulations
Solid understanding of the investment adviser industry, and U.S. and global securities laws, including the Investment Advisers Act
Strong sense of ownership and accountability with a process orientation
High accuracy and extremely detail-oriented
Ability to multi-task and prioritize deadlines; results-oriented
Excellent communication skills and client-service orientation
Experience and ability to proactively identify and analyze problem situations to develop an effective course of action for resolution
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
Ability to manage challenging workflow in fast-paced, dynamic organization, managing multiple assignments in a deadline driven environment
Excellent organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion
Preferred
JD or other advanced degree considered a plus
Series 7, 63 preferred
Knowledge of Red Oak an advantage
Benefits
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)
Commuter Benefits plan for parking and transit
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.
Company
Ares Management
Ares Management is an alternative asset manager focusing on credit, private equity, and real estate.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
$5.4B2025-10-29Post Ipo Equity· $1.5B
2025-01-09Post Ipo Equity· $2.3B
2024-10-09Post Ipo Debt· $750M
Leadership Team
Michael Arougheti
Director, Co-Founder & Current CEO
Antony Ressler
Co-Founder, Director and Executive Chairman
Recent News
2026-01-23
2026-01-20
2026-01-16
Company data provided by crunchbase