Vice President Compliance, Marketing Material Review
About The Position
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 including the Advisers Act, Investment Company Act and FINRA; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; Corporate Compliance, which administers global policies and central compliance and oversight functions; and Financial Crimes, which oversees Ares’ adherence to financial crimes-related rules and regulations. Ares is seeking a Vice President to play a key role in the Compliance regulatory marketing review process in support of our institutional and wealth businesses. The Vice President will actively participate in review and oversight of the business unit marketing materials as well as specific to investor requests. The successful candidate will possess a strong working knowledge of the regulatory requirements of the Investment Advisers Act, including the SEC Marketing Rule, FINRA marketing regulations and general familiarity with the Investment Company Act.
Requirements
- Minimum of 10+ 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 and FINRA 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.
- 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, PowerPoint).
- Ability to manage challenging workflow in-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.
- Bachelor’s Degree required
Nice To Haves
- JD or other advanced degree considered a plus
- Series 7, 63 preferred
- Knowledge of Red Oak an advantage
Responsibilities
- Provide primary compliance marketing review and oversight of marketing materials and business communications.
- Serve as primary liaison point between the Compliance team and the Investor Relations team.
- Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC and FINRA).
- Monitor all submissions of materials in 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 Principal or Managing Director, Compliance as needed
Benefits
- Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
- Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
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What This Job Offers
Job Type
Full-time
Career Level
Executive
