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Senior Associate – Marketing & Distribution Compliance at Ares in London.
Drive compliance excellence in a culture of collaboration, responsibility, and growth.
Company Overview
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.
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; Regulatory 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.
Primary Functions and Essential Responsibilities
- Provide primary compliance marketing review and oversight of marketing materials and business communications.
- Serve as primary liaison point between the Compliance team and the Investor Relations teams.
- Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC, ESMA, FINRA and other global regulations).
- Monitor all submissions of materials in timely fashion and ensure the quality and timing of reviews.
- Assist with developing, revising, and implementing policies and procedures regarding marketing review activities and regulatory developments.
- Escalate issues to the Vice President, Compliance as needed
Education
Bachelor’s Degree required. Legal qualifications or other advanced degree considered a plus
FINRA Series 7, 63 considered an advantage
Experience Required
Minimum of 4 + years of relevant financial services compliance experience with a focus on review of marketing materials for institutional, wealth and alternative products.
Knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices.
Working knowledge of or familiarity with SEC, FINRA and other global regulatory reviews and interpretation of regulations.
Solid understanding of the investment adviser industry, and U.S. and global securities laws, including the Investment Advisers Act.
General Requirements
Strong sense of ownership and accountability with a process orientation.
High accuracy and extremely detail-oriented.
Ability to multi-task and prioritize deadlines; results-oriented.
Excellent communication skills and client-service orientation.
Experience and ability to proactively identify and analyze problem situations to develop an effective course of action for resolution.
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).
Knowledge of Red Oak an advantage
Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment.
Excellent organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion.
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.