Brian Aif
CCO • Ares Management Capital Markets LLC and Ares Wealth Management Solutions, LLC at Ares Management Corporation | Denver, Colorado, United States
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Brian Aif currently serves as Principal and Head of Compliance at Ares Wealth Management Solutions, LLC (AWMS), a role he has held since July 2021, following the strategic acquisition of Black Creek Capital Markets, LLC and Black Creek Group. With over 20 years of progressive compliance experience, Brian is adept at navigating the complexities of regulatory requirements, particularly within the realms of SEC and FINRA regulations. His expertise encompasses a wide array of compliance functions, including intermediary oversight, new client take-on processes, and the management of private placements.
In his capacity as the Anti-Money Laundering (AML) Officer and Chief Compliance Officer (CCO), Brian is instrumental in spearheading the development and implementation of comprehensive compliance policies and procedures. He is committed to fostering a culture of integrity and ethical decision-making within the organization, ensuring that compliance risk is effectively balanced with business opportunities. His proactive approach enables him to identify emerging compliance trends and integrate them into AWMS's operational framework, thereby enhancing the firm's risk management capabilities.
Brian's focus on process improvement and the establishment of robust supervisory procedures has positioned AWMS to not only meet regulatory requirements but also to excel in operational performance metrics. His leadership in testing and auditing compliance policies ensures that the firm remains vigilant and responsive to the evolving regulatory landscape. Through his dedication and results-driven mindset, Brian Aif continues to be a pivotal figure in promoting compliance excellence at Ares Management Corporation, while contributing to the overall success and integrity of Ares Wealth Management Solutions.
CCO • Ares Management Capital Markets LLC and Ares Wealth Management Solutions, LLC at Ares Management Corporation in March 2015 to Present
Senior Vice President • CCO (05/2018 – 06/2021) at Black Creek Capital Markets, LLC (Broker-Dealer) & Black Creek Group in May 2018 to June 2021
Vice President • Head of Distribution Compliance • CCO – Black Creek Capital Markets at Dividend Capital Securities, LLC in March 2015 to May 2018
Senior Compliance Manager (01/2011 – 03/2015) at Janus Capital Group in December 2002 to March 2015
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Audits
Conflicts of Interest
Counsel Business Units
Intermediary Oversight
Lobbyist Registration
Marketing Review & Monitoring
New Client Take-On
Operating Performance Metrics
Political Activities
Private Placements
Problem Resolution
Process Improvement
Regulatory Inquiries & Examinations
Risk Management
Sales Practices
Supervisory Procedures
Team Building
Team Leadership
Compliance Policies & Procedures
Team Management
Advertising Rules
SEC/FINRA & Broker-Dealer – Rules & Regulations
Reg BI
Anti-Money Laundering (AML)
Anti-Financial Crime (AFC)
Test & Audit – Policies/Procedures
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Discover more about Ares Management CorporationWhat is Brian Aif email address?
Email Brian Aif at [email protected]. This email is the most updated Brian Aif email found in 2026.
What is Brian Aif phone number?
Brian Aif phone number is +13033947644.
How to contact Brian Aif?
To contact Brian Aif send an email to [email protected]. If you want to call Brian Aif try calling on +13033947644.
What company does Brian Aif work for?
Brian Aif works for Ares Management Corporation
What is Brian Aif's role at Ares Management Corporation?
Brian Aif is CCO • Ares Management Capital Markets LLC and Ares Wealth Management Solutions, LLC
What industry does Brian Aif work in?
Brian Aif works in the Financial Services industry.
Brian Aif Email Addresses
Brian Aif Phone Numbers
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