Associate, APAC Compliance (Hong Kong)

About the role

Ares' Legal & Compliance Department oversees the firm's global legal, regulatory and compliance functions, including regional teams such as European and Asia Pacific Compliance. Ares is seeking an Associate to join its APAC Compliance team in Hong Kong, focusing on day-to-day regulatory and compliance activities there while collaborating with global and regional teams.

Key responsibilities

• Support the Hong Kong compliance programme, including employee licensing, fit and proper assessments, CPT status and requests on personal account dealing, outside business activities, gifts and entertainment
• Run compliance controls and a recurring compliance monitoring programme, including trackers and reports
• Prepare regulatory filings and reporting such as licensing applications, notifications, annual returns and regulatory surveys
• Track, analyse and communicate regulatory developments and enforcement actions
• Support coordination of general compliance matters in North Asia excluding Japan, and help with ad-hoc compliance initiatives

Required profile

• Bachelor's degree; JD or other advanced degree is a plus
• At least 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, and hands-on experience in code of ethics, SFC licensing, CPT, regulatory reporting, AML/CFT and compliance monitoring
• Solid understanding of the alternative investment management industry, preferably with experience in private credit, private equity and/or real assets
• Knowledge of US (SEC and FINRA) and other APAC jurisdiction requirements is an advantage
• Excellent command of English