Job Description
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, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory Compliance, 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; 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.
We are seeking a Senior Associate to play a key role in marketing compliance in APAC. You will actively participate in review and oversight of the Ares Asia business units’ marketing materials and external communications, as well as cross-border marketing and fund distribution activities in APAC and will be instrumental in supporting the growing needs of Ares’ Wealth Management Solutions (WMS) compliance program in Australia. You will also work closely with the global compliance team in support of the development of Ares’ global and regional compliance program on marketing and distribution.
You will be a self‑motivated individual who is both competent and passionate about compliance, with a desire to excel and to appreciate the exposure and challenges that come with the growth and expansion of Ares’ businesses in the APAC region, as well as the rapidly changing regulatory and compliance environment. If you are comfortable working closely with business teams in a fast‑paced environment, you will be well‑suited for the role.
Primary Functions & Responsibilities
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, 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, including review of supporting documentation
Provide compliance support to the Wealth Management Solutions (WMS) business in Australia, including reviewing disclosure documents and marketing materials of retail funds offered in Australia, and assist with other compliance functions including distributor oversight
Serve as liaison and escalation point between the Compliance team and Investor Relations teams as well as Relationship Managers
Assist with other strategic and ad-hoc compliance initiatives as needed
Qualifications
Minimum of a Bachelor’s Degree. Juris Doctor (JD) or other advanced degree considered a plus
Minimum of 5 years of compliance experience working in a regulated financial institution, with a focus on review of marketing materials for institutional and alternative products and/or cross-border compliance
Knowledge of global asset management legal and regulatory compliance, risk management, and industry best practices
Solid understanding of the alternative investment management industry, preferably with experience in private credit and/or private equity
Strong working knowledge of regulatory requirements across APAC relating to marketing and promotional materials, offering restrictions and investor qualifications
Ideally have knowledge of, and be willing to learn more about, the Investment Advisers Act, FINRA marketing regulations and general familiarity with the Investment Company Act
Preferably working knowledge of general regulatory compliance matters, such as Singapore, Australia, and the US (SEC and FINRA), including regulatory reviews and interpretation of regulations
Skills and Abilities Required
Self-motivated and strong sense of ownership and accountability, with a focus on process orientation
High accuracy and detail-oriented
Ability to multi-task and prioritize deadlines; results-oriented
Ability to work closely with business teams to understand the business needs and foster trusted partnerships
Strong interpersonal skills and excellent team orientation
Display good judgment and logical decision making apart from highly developed technical skills
Experience and ability to proactively identify and analyze problem situations to develop an effective course of action for resolution
Possess multi-tasking skills and ability to work well under pressure in a fast-paced environment
Excellent organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion
Reporting Relationships
Vice President, APAC ComplianceThere 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.
