Job DescriptionSUMMARYThe Head of Portfolio Compliance will be responsible for establishing and leading the Portfolio Compliance function within Investment Operations, providing strategic oversight of the governance framework, operating model, and compliance monitoring capabilities that support a growing global investment platform. This Managing Director will serve as a key partner to Portfolio Management, Legal, Compliance, Technology, Data, and senior business leaders to ensure investment guidelines, regulatory requirements, and operational controls are implemented effectively and consistently across the platform.
The role combines functional leadership, risk management, operational oversight, and organizational change management. The ideal candidate will help shape the strategic direction, governance framework, and operating model for the Portfolio Compliance function. They will partner directly with senior investment and business leaders across the Firm to help drive transformational initiatives involving technology, automation, and process improvement.
PRIMARY FUNCTIONS & RESPONSIBILITESPortfolio Compliance Leadership & Oversight- Establish and lead the strategic direction, governance framework, and operating model for Portfolio Compliance across a diverse and growing global investment platform.
- Serve as the senior leader and principal point of escalation for portfolio compliance matters across the platform.
- Oversee the portfolio compliance oversight framework, ensuring effective governance, controls, accountability, and consistency across pre and post trade compliance monitoring activities.
- Serve as a senior advisor on complex investment guidelines, regulatory requirements, client mandated restrictions, and operational control design.
- Establish standards for exception management, escalation, remediation, and root cause analysis, ensuring material issues are addressed appropriately and consistently.
- Strengthen the control environment by emerging risks, process gaps, and opportunities to enhance governance, oversight, and operational effectiveness.
- Ensure the function can support new accounts, products, strategies, and business growth while maintaining a strong risk and control environment.
Strategic Transformation & Operating Model Development - Lead the development and evolution of the Portfolio Compliance operating model to support the Firm's growth and strategic priorities.
- Drive large-scale transformation initiatives focused on automation, technology enhancements, data governance, and process optimization.
- Partner with Technology, Data, Compliance, Legal, and investment teams to improve compliance monitoring capabilities and data quality across the investment lifecycle.
- Provide executive oversight of compliance technology strategy, rule implementation frameworks, and monitoring capabilities.
- Anticipate future business needs and industry developments, ensuring the Portfolio Compliance function remains scalable and aligned with evolving investment strategies and regulatory requirements.
Cross-Functional Collaboration & Senior Stakeholder Management - Build trusted relationships with senior stakeholders across Portfolio Management, Investment Operations, Legal, Compliance, Investor Relations, Technology, Data, and executive leadership.
- Act as a strategic thought partner on complex portfolio compliance matters, operational risks, and business initiatives.
- Partner with executive leadership to support strategic growth initiatives, new products, business expansion efforts, and evolving operating requirements.
- Influence business strategy through effective communication, thoughtful recommendations, and cross-functional leadership.
- Represent the Portfolio Compliance function in governance forums, audits, regulatory inquiries, client-related matters, or other high-priority initiatives.
Risk Management, Governance & Reporting - Maintain a strategic approach to business, operational, regulatory, and reputational risk management within the Portfolio Compliance function.
- Balance risk mitigation with commercial objectives, ensuring compliance oversight supports the Firm's business goals while maintaining strong controls.
- Monitor trends in compliance exceptions, control issues, operational metrics, and regulatory developments to identify emerging risks and drive enhancements.
- Oversee management reporting, client-facing reporting, audit responses, regulatory inquiries, and governance routines.
- Promote a culture of accountability, transparency, and proactive risk management across the team.
Team Leadership - Build and scale the Portfolio Compliance organization, including team structure, talent strategy, succession planning, and operating model design.
- Lead, coach, and develop a high-performing team while establishing clear priorities, expectations, and accountability measures.
- Foster a culture of collaboration, continuous improvement, innovation, and professional development.
- Oversee hiring, onboarding, training, and talent management to ensure the function remains positioned to support business growth and future needs.
- Leads through periods of organizational change, maintaining stability while driving progress against strategic objectives.
Reporting RelationshipsCompensationThe 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 - $350,000
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.
