Senior Associate, APAC Marketing Compliance - Singapore - Ares Management

    Ares Management
    Ares Management Singapore

    3 days ago

    Accounting / Finance
    Description
    Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.

    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 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.
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