Senior Associate, Marketing & Distribution Compliance

Job Description

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; 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.

Ares is seeking a

[Senior Associate / Associate Vice‑President] to play a key role in the Compliance regulatory marketing review process in support of our institutional and wealth businesses. The

[Senior Associate / Associate Vice‑President] will actively participate in review and oversight of the business unit marketing materials and specific investor requests.

The successful candidate will possess a strong working knowledge of UK and European regulatory frameworks, including the UK FCA and Luxembourg CSSF requirements regarding marketing material, the ESMA Marketing Guidelines, as well as US regulatory requirements, including the Investment Advisers Act, the SEC Marketing Rule, FINRA marketing regulations and general familiarity with the Investment Company Act.

• Primary Functions And Essential Responsibilities
• Provide primary compliance marketing review and oversight of marketing materials and business communications.
• Serve as the 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 a 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, Power Point).
• Knowledge of Red Oak an advantage.
• Ability to manage challenging workflow in a 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.
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