Description
Ares is seeking an Associate to join its APAC Compliance team in Hong Kong. The individual will focus on handling and supporting day-to-day regulatory and compliance activities in Hong Kong, collaborating with global and regional compliance teams.
The successful candidate will be a self-motivated compliance professional with a desire to excel in a rapidly changing regulatory environment. They will be proactive, detail-oriented, and capable of managing recurring compliance processes in a fast-paced setting.
Primary Functions & Essential Responsibilities
- Support the compliance programme in Hong Kong, including reviewing employees' licensing matters, fit and proper assessments, and requests related to personal account dealing and outside business activities
- Undertake compliance control functions and implement recurring compliance monitoring programmes
- Prepare regulatory filings and reporting, including licensing applications and annual returns
- Track, analyse, and communicate regulatory developments and enforcement actions relevant to Ares' activities
- Support and assist with the coordination of general compliance matters in North Asia ex Japan
- Assist with other strategic and ad-hoc compliance initiatives as needed
Qualifications
- Bachelor's Degree; Juris Doctor (JD) or other advanced degree considered a plus
- Minimum of 2 years of compliance experience in a regulated financial institution, preferably in asset management
- Good understanding of the Hong Kong regulatory framework for investment advisory and asset management activities
- Solid understanding of the alternative investment management industry and relevant business activities
- Knowledge of regulatory requirements in US and other APAC jurisdictions is an advantage
- Self-motivated with strong sense of ownership and accountability, and able to work independently
- High accuracy and extremely detail-oriented
- Ability to manage recurring compliance processes and ad-hoc projects
- Ability to work well under pressure in a fast-paced environment, multi-task and prioritize deadlines
- Comfort in dealing with ambiguity and uncertainty in a dynamic environment
- Display sound judgment, logical decision making, and a practical, solutions-oriented approach to regulatory issues
- Collaborative with strong interpersonal skills, and ability to build credibility and trusted relationships with cross-functional stakeholders
- Willing to be flexible to coordinate with team members across different time zones
- Excellent command in English