Marketing and Distribution Compliance Associate

Associate, Marketing and Distribution

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.

Job Description

PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES
The new Associate will play a key role in support of Ares compliance with marketing materials policies. Specific responsibilities will include:
• Provide primary compliance marketing review support of marketing materials and business communications, including DDQs, RFPs, webinars, quarterly and annual reports to ensure compliance with regulatory guidance and Ares Marketing and Advertising policy.
• Communicate issues and escalate as needed with Compliance Leadership
• Monitor all submissions of materials in timely fashion and ensure high quality and timely reviews
• Assist with marketing review system administration, including onboarding, training, workflow management, problem solving, etc
• Assist with projects and initiatives
• Stay abreast of SEC and Ares guidance regarding financial communications and related global regulatory guidelines and updates
•Assist with developing, revising, and implementing automation processes regarding marketing review activities and regulatory developments.

QUALIFICATIONS
Education:
•Bachelor’s Degree from an accredited university or international equivalent required. JD or other advanced degree considered a plus.

Experience Required:
• 3-6 years of financial services compliance experience with a strong preference on review of marketing materials for institutional 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 regulatory requirements globally
• Working knowledge understanding of the investment adviser industry, and U.S. and global securities laws.

General Requirements:

• Strong sense of ownership and accountability with a process orientation.
• Ability to take direction, work as a team, and work independently
• High accuracy and extremely detail-oriented.
• Ability to multi-task and prioritize deadlines; results-oriented.
• Ability to remain flexible and responsive as roles and duties shift
• 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). Experience with Red Oak AdMaster a plus.
• 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

Reporting Relationships

Principal, Marketing and Distribution Compliance

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.

Experience Level

Senior Level