Job Description 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; European and Asia Pacific Compliance, which oversees region‑specific compliance and regulatory matters; Regulatory 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. Ares is seeking a [Senior Associate / Associate Vice‑President] to play a key role in the Compliance regulatory marketing review process in support of our institutional and wealth businesses. The [Senior Associate / Associate Vice‑President] will actively participate in review and oversight of the business unit marketing materials and specific investor requests. The successful candidate will possess a strong working knowledge of UK and European regulatory frameworks, including the UK FCA and Luxembourg CSSF requirements regarding marketing material, the ESMA Marketing Guidelines, as well as US regulatory requirements, including the Investment Advisers Act, the SEC Marketing Rule, FINRA marketing regulations and general familiarity with the Investment Company Act. Primary Functions And Essential Responsibilities * Provide primary compliance marketing review and oversight of marketing materials and business communications. * Serve as the primary liaison point between the Compliance team and the Investor Relations teams. * Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC, ESMA, FINRA and other global regulations). * Monitor all submissions of materials in a timely fashion and ensure the quality and timing of reviews. * Assist with developing, revising, and implementing policies and procedures regarding marketing review activities and regulatory developments. * Escalate issues to the Vice President, Compliance as needed. Education * Bachelor’s Degree required. Legal qualifications or other advanced degree considered a plus. * FINRA Series 7, 63 considered an advantage. Experience Required * Minimum of 4+ years of relevant financial services compliance experience with a focus on review of marketing materials for institutional, wealth 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 SEC, FINRA and other global regulatory reviews and interpretation of regulations. * Solid understanding of the investment adviser industry, and U.S. and global securities laws, including the Investment Advisers Act. General Requirements * Strong sense of ownership and accountability with a process orientation. * High accuracy and extremely detail‑oriented. * Ability to multi‑task and prioritize deadlines; results‑oriented. * 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). * Knowledge of Red Oak an advantage. * Ability to manage challenging workflow in a fast‑paced, dynamic organization, managing multiple assignments in a deadline‑driven environment. * Excellent organizational skills, demonstrated ability to manage competing priorities and lead large‑scale projects to completion. J-18808-Ljbffr
Senior Associate, Marketing & Distribution Compliance • London, England
The most consequential investment decisions of the next decade sit at the intersection of government intent and strategic capital.SG& Capital Partners was built to operate in this environment.We ar... Show more
We have an exciting opportunity for a Senior Associate to join our Banking and Finance team in our London office.The team work with a variety of lenders, corporates and sponsors on a range of finan... Show more
A leading global research agency is seeking an Associate Director to oversee client account management and ensure high-quality research delivery.The ideal candidate has extensive experience in quan... Show more
If you’re looking to continue your career in an award-winning global agency, then this might just be the role for you!.We have been named PRWeek’s Global Agency of the Year and Best Places to Work;... Show more
Marktlink supports entrepreneurs at every stage of their business journey.As an independent international M&A advisor, Marktlink combines deep market knowledge with a personal and pragmatic approac... Show more
The Senior Director, Performance at THE·TEAM sits in the Performance team within the Brands and Properties division.You will lead multiple senior client scopes, ensuring commercial performance and ... Show more
Greenberg Traurig LLP is now a global powerhouse with over 2,650 lawyers in 47 locations worldwide.Established in London in 2009, GT’s London office has expanded to become a full-service, multidisc... Show more
A leading recruitment agency in London is seeking a Senior Consultant for Risk and Compliance.The role involves drafting policies, responding to complaints, and conducting compliance checks.Ideal c... Show more
A career at Janus Henderson is more than a job, it’s about investing in a brighter future together.Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes t... Show more
With the right backing, people and businesses have the power to progress in incredible ways.When you join Team Amex, you become part of a global and diverse community of colleagues with an unwaveri... Show more
Brookfield Global Asset Management Limited.London - One Canada Square, Level 25.Brookfield Infrastructure Group is one of Brookfield’s primary operating groups.The Infrastructure Group is one of th... Show more
Vialto is seeking a Senior Associate to support the delivery of global equity compensation solutions for multinational clients.You’ll assist with design, implementation, and compliance of global sh... Show more
Get AI-powered advice on this job and more exclusive features.Senior Marketing Associate, Fixed Term Contract (until May 2026) London (Hybrid).Neudata is looking for a B2B Marketing Associate to jo... Show more
G3 is seeking an Associate Director for our London office to handle demanding engagements across law, finance, consulting, corporate strategy, government, or comparable environments.The role emphas... Show more
Senior Director, Strategic Growth Initiatives & Transformation.London (Battersea Power Station) / Hybrid – frequent domestic and international travel.The Senior Director, Strategic Growth Initiativ... Show more
Senior Associate Director, Sr Product Marketing Development Manager.Division: Global Brand & Central Marketing.A career at Janus Henderson is more than a job, it’s about investing in a brighter fut... Show more
Your information will be handled as detailed in our Privacy Policy.I wish to sign up for Liquidity's newsletter and get the latest news from Liquidity, event invites,and new content sent to my inbo... Show more
Leading Communications Consultancy.This sector leading team has enjoyed excellent growth while delivering integrated campaigns including public affairs and government relations, planning communicat... Show more
A high-growth advisory firm in the UK is seeking Associate Directors to support M&A and strategic transactions.These roles will necessitate direct interaction with Partners and involvement in the f... Show more
One Ten Associates are partnering with a multi-strategy fund manager that is looking to hire a Compliance Associate within their London office.Reporting into the Head of Compliance, this will be a ... Show more
