Compliance Associate Vice President

1 week ago

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

About the Role

Ares Management Corporation is seeking a highly experienced Compliance Associate Vice President to support and assist in all regulatory and compliance-related activities of the Asia Pacific region, with a primary focus on Hong Kong.

Key Responsibilities

  • Identify and stay up-to-date 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 and 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

Requirements

  • 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)
  • 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

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