Associate Vice President, Compliance

4 months ago

Hong Kong, Hong Kong SAR China Ares Management Corporation Full time

Description

Overview:

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 Hong Kong; 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.

Role Summary:

Ares is looking to appoint an Associate Vice President, Compliance, to support and assist in all regulatory and compliance related activities of the Asia Pacific region, with a primary focus on Hong Kong, 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:

Identify & keep abreast on all compliance requirements for a Hong Kong licensed fund management corporation in Hong Kong (with authorization to conduct Type 1, 4 and 9 regulated activities) Assess and manage conflict management matters within the group, including by liaising with deal teams and our Group conflicts team Prepare & assist to prepare filings and reporting to ensure compliance with SFC regulatory and filing requirements (Company and employees) Assist the Compliance lead to liaise with regulators 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 intra-group reporting and coordinate with various stakeholders within the group Assist to 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 Devise, implement and manage internal compliance monitoring requirements Provide technical guidance to management and employees on compliance matters, including interpretation of regulation and internal policy requirements Assist the Compliance lead in handling regulatory matters of other jurisdictions Participate as a team player in the APAC and Global Compliance teams, including by supporting junior team members in Hong Kong Assist in other regulatory topics, e.g,. KYC/AML, FATCA/CRS, personal data protection compliance matters Perform ad-hoc assignments as required 

Education:

Bachelors degree required, preferably with exceptional academic record Preferably a professional qualified accountant (CA, ACA, CPA, etc. based on jurisdiction), legal professional, or a member of a reputable relevant professional body (e.g., ACAMS)

Skills and Abilities Required:

At least 6-8 years of experience working in a compliance role in a regulated financial institution, preferably with experience in asset management Highly experienced and knowledgeable with Hong Kong SFC regulations Sound understanding of conflict management matters Hands on experience and knowledge of compliance monitoring requirements and practises Knowledge in other regulatory matters or regulatory requirements in other jurisdictions (e.g., regulatory regime in Cayman Islands, Mauritius, Singapore, PRC or regulatory topics like KYC/AML, FATCA/CRS, personal data protection) are advantages Proactive management approach, including effective upward management Excellent command in English Strong interpersonal skills and excellent team orientation Self-motivated, highly detail oriented, display good judgment and logical decision making apart from highly developed technical skills Have strong sense of ownership spirit, and able to work independently Possess multi-tasking skills and ability to work well under pressure in a fast-paced environment

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).

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.

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