Senior Associate, Marketing & Regulatory Compliance

Description

Summary :

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; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.

Ares is seeking a Senior Associate to support its Asia Pacific regional marketing compliance program and its Hong Kong regulatory compliance program. The individual will be primarily responsible for the review of the Ares Asia business units’ marketing materials and external communications, as well as cross-border marketing and fund distribution activities in the Asia Pacific region. The individual will also be instrumental in supporting the day-to-day compliance matters of the regulatory compliance program in Hong Kong. The individual will work closely with the global compliance teams in support of the development of Ares’ global and regional compliance program.

The successful candidate will be a self-motivated individual who is a competent and passionate compliance professional, with strong foundation in the regulations applicable to alternative investment managers in Hong Kong, and a desire to excel and appreciate the exposure and challenges that are provided by the growth and expansion of Ares businesses in the Asia Pacific region and the rapidly changing regulatory and compliance environment. Proactive, detail-oriented professionals comfortable working closely with business teams in a fast-paced environment will be best suited for the role.

Primary Functions & Essential Responsibilities :

The individual will play a key role in marketing compliance in APAC. Specific responsibilities will include :

• Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC and FINRA, and various APAC guidelines), APAC cross-border compliance, offering restrictions and investor qualifications.
• Collaborate with the respective country compliance officers and global marketing compliance team to serve as a central point of coordination for marketing- and fund distribution-related matters in APAC.
• Provide compliance guidance, review and oversight of marketing materials and external communications, including fund marketing decks, offering documents, DDQs, press releases, RFPs, data rooms, webinars, investor reports and annual investor meeting materials, and the translations of such materials into local languages.
• Provide compliance guidance, review and oversight of cross-border marketing and fund distribution activities in APAC, including fund registrations and offering exemptions, and investor qualification matters.
• Assist with developing, revising, and implementing policies and procedures regarding marketing and distribution activities in APAC to ensure alignment with regulatory expectations.
• Serve as liaison and escalation point between the Compliance team and Investor Relations teams as well as Relationship Managers.
• The individual will also be instrumental in supporting the Hong Kong regulatory compliance program.
• Handle and / or collaborate with relevant teams for the accurate and timely submission of required regulatory filings, including licensing applications, notifications, annual returns, FRR returns, BRMQs, and regulatory surveys.
• Provide regulatory compliance guidance and review of all business activities in Hong Kong, including to support the review and monitoring of internal compliance with applicable regulatory requirements, and the analysis and implementation of regulatory changes.
• Collaborate with the respective global compliance teams as well as other relevant teams and functions, and assist with developing, revising, and implementing global policies and procedures in Hong Kong to ensure alignment with local regulatory expectations as well as the firm’s global standards.
• Assist with other strategic and ad-hoc compliance initiatives as needed.

Education :

Experience Required :

General Requirements :

About Ares Asia :

With a pan-Asian presence, Ares Asia is one of the largest alternative investment managers in Asia-Pacific with approximately US$14.3 billion in assets under management. Led by a highly experienced management team that has delivered attractive investment performance across various market cycles, transaction types and Asian countries, Ares Asia leverages its broad geographical footprint and extensive infrastructure in the region to make credit, private equity, and special situations investments on behalf of its institutional client base.

About Ares Management :

Ares Management Corporation (“Ares” or the “Firm”) is a publicly traded (NYSE : ARES), leading global alternative asset manager with approximately $546 billion of assets under management (“AUM”) and over 4,140 employees. We seek to deliver attractive performance to our investor base across our investment groups and strategies, including credit, real assets, private equity, and secondaries. The Firm is headquartered in Los Angeles with offices across the United States, Europe, Asia and Australia.

Ares Management LLC (together with its related operating and administrative subsidiaries, “Ares Management”) is an Equal Employment Opportunity employer and considers all applicants for employment without regard to race, color, religion, ethnicity, creed, sex, age, national origin, alienage or citizenship status, disability, medical condition, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, transgender status, genetic information, status as unemployed, political affiliation or any other characteristic protected by federal, state or local law.

Ares Management will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance.

Reporting Relationships

Head of APAC Compliance

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.