Senior Associate/avp, Compliance, Marketing & Distribution

Ares

London, United Kingdom
Compliance marketing review process
Knowledge of uk and european regulations
Familiarity with us regulatory requirements
Ares is committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds can build careers within the growing financial industry

Job Summary

  • Ares is committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds can build careers within the growing financial industry.
  • The Senior Associate/Associate Vice-President will play a key role in providing Compliance support for various alternative investment strategies marketing materials and policies.
  • The role involves serving as a subject matter expert on marketing and communications regulatory guidelines and acting as the primary liaison between Compliance and Investor Relations teams.

Matching Summary

Ares is committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds can build careers within the growing financial industry.

Skills & Requirements

Must-have

  • Compliance marketing review process
  • Knowledge of UK and European regulations
  • Familiarity with US regulatory requirements
  • Review of alternative investment marketing materials
  • Regulatory guidelines expertise (SEC, ESMA, FINRA)
  • Collaboration with Investor Relations teams

Nice-to-have

  • Strong sense of ownership and accountability
  • High accuracy and detail-oriented
  • Excellent communication skills
  • Proficient in Microsoft Office Suite
  • Knowledge of Red Oak
  • Ability to manage multiple priorities

Key Requirements

  • Minimum 4+ years financial services compliance experience
  • Bachelor’s Degree required
  • Legal qualifications or advanced degree a plus
  • FINRA Series 7, 63 considered an advantage
  • Knowledge of global asset management compliance
  • Experience with SEC, FINRA and global regulatory reviews

Work Rights

Not specified

Tailored Resume

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