Vice President of Compliance Operations

7 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Ares Management Corporation Full time

Position Overview:

The Ares Legal & Compliance Department is responsible for overseeing and managing Ares' comprehensive Legal, Regulatory, and Compliance functions on a global scale. Under the guidance of the Global Chief Compliance Officer, the Compliance and Regulatory teams work collaboratively with a worldwide perspective. This includes Regulatory, which manages all global regulatory issues, including the Advisers Act, Investment Company Act, and FINRA; European and Asia Pacific Compliance, which focuses on region-specific compliance and regulatory matters, particularly in Hong Kong; Corporate Compliance, which implements global policies and central compliance oversight; and Financial Crimes Prevention, which ensures adherence to financial crimes-related regulations.

Role Summary:

Ares is seeking to appoint a Vice President of Compliance Operations to assist in all regulatory and compliance-related activities in the Asia Pacific region, with a primary emphasis on Hong Kong. This role involves managing various internal compliance monitoring and conflict management issues within the organization. The position will also collaborate closely with Ares Management's global Compliance and Regulatory teams.

We are looking for a proactive individual who is a skilled and dedicated compliance professional, eager to excel and embrace the challenges presented by Ares' growth and expansion in the Asia Pacific region, reflecting the rapidly evolving regulatory landscape. Candidates who thrive in a dynamic environment will find this role particularly suitable.

Key Responsibilities:

  • Stay informed on all compliance obligations for a Hong Kong licensed fund management corporation authorized to conduct Type 1, 4, and 9 regulated activities.
  • Evaluate and manage conflict management issues within the organization, collaborating with deal teams and the Group conflicts team.
  • Prepare and assist in the preparation of filings and reports to ensure compliance with SFC regulatory and filing obligations for the company and its employees.
  • Support the Compliance lead in liaising with regulatory authorities.
  • Keep the firm updated on new and revised compliance requirements, developing, reviewing, and modifying policies and systems as necessary.
  • Ensure compliance with relevant Ares global and regional internal processes and policies.
  • Conduct compliance control functions and monitoring programs, including developing trackers and reports to confirm adherence.
  • Manage intra-group reporting and coordinate with various stakeholders.
  • Assist in conducting compliance training for new hires and developing compliance training programs to enhance awareness of regulatory requirements.
  • Design, implement, and oversee internal compliance monitoring protocols.
  • Provide technical guidance to management and staff on compliance issues, including the interpretation of regulations and internal policies.
  • Assist the Compliance lead with regulatory matters in other jurisdictions.
  • Collaborate as a team player within the APAC and Global Compliance teams, supporting junior team members in Hong Kong.
  • Engage in other regulatory topics, such as KYC/AML, FATCA/CRS, and personal data protection compliance.
  • Undertake ad-hoc assignments as required.

Qualifications:

  • Bachelor's degree required, preferably with an outstanding academic record.
  • Ideally, a professionally qualified accountant (CA, ACA, CPA, etc.), legal professional, or a member of a reputable relevant professional body (e.g., ACAMS).

Skills and Competencies:

  • A minimum of 6-8 years of experience in a compliance role within a regulated financial institution, preferably in asset management.
  • Extensive knowledge of Hong Kong SFC regulations.
  • Strong understanding of conflict management issues.
  • Practical experience and knowledge of compliance monitoring requirements and practices.
  • Familiarity with regulatory matters in other jurisdictions (e.g., Cayman Islands, Mauritius, Singapore, PRC) and topics like KYC/AML, FATCA/CRS, and personal data protection is advantageous.
  • Proactive management style, including effective upward management.
  • Excellent command of English.
  • Strong interpersonal skills and a collaborative team orientation.
  • Self-motivated, detail-oriented, and capable of sound judgment and logical decision-making, alongside highly developed technical skills.
  • A strong sense of ownership and the ability to work independently.
  • Ability to multitask and perform well under pressure in a fast-paced environment.

About Ares Asia:

Ares Asia is one of the largest alternative asset managers in the Asia-Pacific region, with approximately US$15.1 billion in assets under management. The firm is led by a highly experienced management team that has consistently delivered strong investment performance across various market cycles, transaction types, and Asian countries. Ares Asia leverages its extensive geographical presence and infrastructure to make credit, private equity, and special situations investments on behalf of its institutional clients.

Ares Asia's team has received numerous industry accolades, including Private Debt Investor's Distressed Debt Investor of the Year in Asia-Pacific for six consecutive years. Founded in 2009 as SSG Capital, Ares Asia was renamed following its acquisition by Ares Management Corporation (NYSE: ARES).

Reporting Structure:

Reports to the Head of APAC Compliance.

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