Senior Associate/AVP, Compliance, Marketing & Distribution
On-site · London, England, United Kingdom
Job Summary
The Senior Associate/AVP will provide compliance support for Ares’ alternative investment strategies marketing materials and policies. Responsibilities include primary compliance marketing review and oversight of materials, liaison between Compliance and Investor Relations teams, expertise in marketing communications regulations (SEC, ESMA, FINRA), timely monitoring of submissions, and developing policies related to marketing reviews. The ideal candidate should have a strong understanding of UK and European regulatory frameworks, compliance experience in financial services, and excellent communication and organizational skills.
Required Qualifications
- 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 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
- Excellent communication skills and client-service orientation
- Strong sense of ownership and accountability with a process orientation
- Ability to multi-task and prioritize deadlines; results-oriented
Desired Qualifications
- Legal qualifications or other advanced degree considered a plus
- FINRA Series 7, 63 considered an advantage
- Knowledge of Red Oak is an advantage
Additional Requirements
- Ares Management considers all applicants without regard to race, color, religion, ethnicity, creed, sex, age, national origin, alienage or citizenship status, disability, medical condition, pregnancy, marital status, partnership status, sexual orientation, status regarding public assistance, military or veteran status, domestic violence victim status, gender identity and expression, transgender status, genetic information, status as unemployed, political affiliation or any other characteristic protected by law.
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