Compliance Risk Management Specialist

4 weeks ago

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

Ares Asia is one of the largest alternative asset managers in Asia-Pacific with approximately US$15.1 billion in assets under management.

Job Overview

We are seeking an experienced Compliance Risk Management Specialist to join our team in Hong Kong.

The successful candidate will 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.

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
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)
Preferred Qualifications
  • 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
Compensation and Benefits

We offer a highly competitive salary ranging from HKD 800,000 to HKD 1,200,000 per annum, depending on experience, as well as a comprehensive benefits package, including medical insurance, retirement plan, and paid time off.

Please note that this position will be based in Hong Kong, and the selected candidate will need to relocate to Hong Kong.

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