Principal, APAC 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; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters, including with laws and regulations in China; Corporate Compliance, which administers global policies and central compliance and oversight functions; and Financial Crimes Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.

Ares is looking to appoint a Principal, Compliance, to handle and assist in all investment compliance related activities across Private Credit, Private Equity and Real Estate, with a focus in North Asia, including handling and managing various internal compliance monitoring and conflict management matters within the group. This role will also work closely with the Ares Management global Compliance and Regulatory functions.

We are looking for a self-motivated individual who is a competent and passionate compliance professional with 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 reflective of the rapidly changing regulatory and compliance environment. Individuals comfortable in a fast-paced environment will be best suited for the role.

Primary Functions and Essential Responsibilities :

Provide compliance analysis and signoffs for private credit, private equity and real estate pipeline deals in APAC, with a focus on North Asia transactions Identify & keep abreast on all investment compliance requirements and work in collaboration with the respective country compliance officers to serve as a central point of coordination of deal related matters across asset classes Coordinate filings and reporting to ensure compliance with regulatory and filing requirements (e.g. substantial shareholding reporting obligations) Provide local connectivity and leadership in driving and implementing regulatory changes impacting investment activities and processes (e.g. market sounding regulations, market abuse regulations) Establish and implement a local Investment Compliance program that is consistent with regional and global standards Update the firm on new and updated compliance requirements and develop, review, and modify policies and systems accordingly Support compliance with relevant Ares global and regional internal processes and policies Undertake compliance control functions and compliance monitoring programs, as appropriate, including the development of trackers and reports to confirm compliance Handle and manage various internal compliance monitoring and deal conflict management matters within the group Handle intra-group reporting and coordinate with various stakeholders within the group Conduct compliance trainings to new hires as well as the development and delivery of compliance training programs to enhance awareness and understanding of regulatory requirements Provide technical guidance to management and employees on compliance matters, including interpretation of applicable regulatory and internal policy requirements Provide guidance on various compliance considerations associated with deals in APAC, e.g., Conflicts, MNPI, KYC / AML, FATCA / CRS, local personal data protection requirements, among other applicable regulations Perform ad-hoc assignments as required

Education :

• Bachelors degree required, preferably with exceptional academic record
• Preferably a CFA holder

Skills and Abilities Required :

About Ares Asia

With a pan-Asian presence, Ares Asia is one of the largest alternative asset managers in Asia-Pacific with approximately US$15.1 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.

Ares Asia’s team has been consistently recognized for industry accolades, including Private Debt Investor’s Distressed Debt Investor of the Year, Asia-Pacific in each of the last six years. Ares Asia was founded in 2009 as SSG Capital and was renamed after the acquisition in July 2020 by Ares Management Corporation (NYSE : ARES).

About Ares Management

Ares Management Corporation (“Ares” or the “Firm”) is a publicly traded (NYSE : ARES), leading global alternative asset manager with approximately $428 billion of assets under management (“AUM”) and over 2,600 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

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.