Associate Vice President, Compliance

1 week ago

Singapore Ares Management Corporation Full time
Associate Vice President, Compliance

Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.

Overview:

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, including with laws and regulations in Singapore; Corporate 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.


Role Summary:


Ares is looking to appoint an Associate Vice President, Compliance, to handle and assist in all regulatory and compliance related activities of the Asia Pacific region, with a primary focus on Singapore, 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.


We are looking for a self-motivated individual who is a competent and passionate compliance professional with a desire to excel and appreciate the exposure and challenges that are provided by the growth and expansion of Ares businesses in the Asia Pacific region and reflective of the rapidly changing regulatory and compliance environment.

Individuals comfortable in a fast-paced environment will be best suited for the role.

Primary Functions and Essential Responsibilities:

  • Identify & keep abreast on all compliance requirements for a MAS licensed fund management corporation in Singapore
  • Prepare & assist to prepare filings and reporting to ensure compliance with MAS 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 and manage various internal compliance monitoring and conflict management matters within the group
  • Handle intragroup 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
  • 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
  • Assist in other regulatory topics, e.g., KYC/AML, FATCA/CRS, personal data protection compliance matters
  • Perform adhoc assignments as required

Education:

  • 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)

Skills and Abilities Required:

  • At least 68 years of experience working in a compliance role in a regulated financial institution, preferably with experience in asset management
  • Highly experienced and knowledgeable with Singapore MAS regulations
  • Sound understanding of conflict management matters
  • Hands on experience and knowledge in internal compliance monitoring requirements and practises
  • Knowledge in other regulatory matters or regulatory requirements in other jurisdictions (e.g., regulatory regime in Cayman Islands, Mauritius, Hong Kong, or regulatory topics like KYC/AML, FATCA/CRS, personal data protection) are advantages
  • Proactive management approach, including effective upward management
  • Excellent command in English
  • Strong interpersonal skills and excellent team orientation
  • Selfmotivated, highly detail oriented, display good judgment and logical decisi

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