- Serve as the primary subject matter expert with respect to regulatory guidance under the Advisers Act with lead on the SEC Marketing Rule, FINRA requirements, and other rules and regulations related to marketing and third party/investor communications
- Oversight of the Firm's team responsible for review of marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies from a legal, regulatory and compliance perspective
- Review and advise on fund marketing and distribution related matters, helping to assess and manage regulatory and business risks
- Oversee and develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters
- Develop educational materials and trainings for business professionals with respect to marketing and fundraising regulations and protocols
- Assist in assessing current and prospective regulatory risk through industry interaction and research
- Assist with other day-to-day legal and compliance matters as needed
- Work collaboratively across the senior leadership team and functional teams within the Legal & Compliance department to ensure effective and efficient operations
- Act as a change agent by improving and defining the systems and processes that make up the Marketing and Distribution Compliance function
- Provide leadership, training, and support to the Marketing and Distribution team; ensure the team is aligned around consistent processes, systems and reporting strategies
- Create and execute a holistic reporting strategy while also focusing on operational excellence
- Establish high standards of excellence amongst the Regulatory Reporting team
- Navigate and drive change in a fast-paced and at times, ambiguous, environment
- Build credibility and bring true subject matter expertise to the Legal & Compliance function
- Proven success at building credibility quickly at all levels of the organization
- Operate in an entrepreneurial and collaborative spirit; self- motivated and driven
- Leadership and management skills, including engaging and motivating people, providing coaching and feedback, and leading performance management and compensation processes
- Communication skills and the ability to influence and develop strong relationships within Legal & Compliance, amongst business leaders and external stakeholders
- Ability to foster innovation and creativity and quickly drive to concrete work products
- Strategic thinking skills to identify and understand issues, problems, and opportunities; has the ability to create strategic options for addressing problems/opportunities and achieving desired outcomes
- Organizational skills and the ability to reprioritize on a consistent basis
- Project management skills and proven success achieving goals and standards
- Bachelor's Degree required
- Series 7 and 24 preferred
- Strong knowledge of technology platforms and workflows related to marketing and distribution compliance on a global basis
- 15+ years of Finance industry experience in Legal and Compliance with prior work in a globally regulated asset management firm a plus
- 10+ years of Marketing and Distribution experience including direct oversight of implementation and compliance with the 2022 SEC Marketing Rule
- Detailed knowledge of relevant regulatory requirements, including comprehensive understanding of required under the Investment Advisers Act of 1940 and FINRA broker dealer Compliance
- Proven ability to develop the team's long-term strategy with a particular emphasis on deploying technology to review and fast-paced workstreams
- Proven people leader with previous team management experience - building high-performing teams and driving change across scaled and global teams
- Exceptionally detail oriented and analytical
- Self-motivated and proactive with the ability to work under pressure and to tight deadlines
- Ability to work with teams across various global office locations
- Ability to successfully manage multiple complexes, time sensitive priorities and competing demands with multiple stakeholders by leveraging a hands-on approach
- Strong time management and prioritization skills; ability to work under tight deadlines in a fast-paced environment; results oriented
- Strong attention to detail, highly organized and process-driven; high accuracy
- Ability to extract meaningful information from extensive research and analysis to effectively present facts and findings in a digestible format, a keen eye for attention to detail
- A self-directed individual with a can-do attitude, willing to work in an energetic, collaborative, and fast-paced environment, proactive in nature, and a proven ability to resolve issues with minimal supervision
- Proven outstanding communication (written and verbal), presentation, documentation, and interpersonal skills
- Strong sense of ownership and accountability; demonstrates sound judgment and decision-making
- An analytical mind and a passion/interest in bringing new ideas to increase efficiency of existing processes
- A hands-on approach and ability to synthesize business operations and talent needs
- Good judgment in terms of escalating issues vs. solving problems independently
- A solutions-oriented, self-starter and ability to see the big picture
- Comfort in dealing with ambiguity and uncertainty in a dynamic and fast-paced environment
- Ability to be flexible in terms of hours to coordinate with team members across various time zones
- Dependable, great attitude, highly motivated and a team player
-
Head of Marketing
1 week ago
Sloomoo Institute SoHo, United States**Job Title**: Head of Marketing & Strategic Partnerships · **Reporting to**: Co-Founders · **Direct Reports**: Marketing Department · **Job Type**:Full Time (Salary Exempt) · About Sloomoo Institute · Sloomoo Institute is a rapidly growing interactive experience based on play, # ...
-
Head of Marketing
2 weeks ago
Stagwell Global, LLC New York, United StatesAbout Us: · The Stagwell Marketing Cloud (SMC) was founded with a mission to empower and activate the modern marketer. We specialize in building SaaS solutions primarily focused on research, communications, and media, and we're just getting started. · Launched in 2021, we are bor ...
-
Head of Marketing
2 weeks ago
Good Feet New York, United StatesJob Summary · - Stretch*d was founded in 2018 as the premier brand in the one-on-one assisted stretching and recovery category, offering clients the most effective and feel-good way to "get loose." Through our two New York City locations (growing from two to more in 2024 and beyo ...
-
Head of Go-to-market
1 day ago
Atomic New York, United States**About Us**: · Atomic is the venture studio that co-founds companies by pairing founders with the best ideas, teams, and resources, and funding those with the most potential. When entrepreneurs co-found with Atomic, they team up with an experienced group of operators who have st ...
-
Head of Performance Marketing
3 weeks ago
Cloudpillo New York, United StatesCloudpillo is een snelgroeiend bedrijf dat gespecialiseerd is in de online verkoop van diverse slaapartikelen, zoals hoofdkussens, matrassen, toppers en boxsprings. Met een team van in totaal 20 gedreven jonge professionals is het bedrijf momenteel actief op de Nederlandse, Vlaam ...
-
Executive Assistant to Global Head of Marketing
3 weeks ago
BNY Mellon New York, United StatesOverview · Executive Assistant to Global Head of Marketing & Communications · Bring your ideas. Make history. · BNY Mellon offers an exciting array of future-forward careers at the intersection of business, finance, and technology. We are one of the world's top asset management a ...
-
Head of Individual Markets Strategic Initiatives
3 weeks ago
Guardian Life Insurance Company New York, United StatesPosition Summary · The Individual Markets Strategic Growth and Innovation organization is responsible for assessing future strategic opportunities for the Individual Markets (IM) business related to profitable growth, technological innovation, customer experience, as well as prod ...
-
Head of Industry, Marketing Platform, Retail
2 weeks ago
Google New York, United StatesThis role may also be located in our Playa Vista, CA campus. · **Minimum qualifications**: · - Bachelor's degree or equivalent practical experience. · - 11 years of industry experience in digital advertising, consultative sales, business development, or digital marketing, or 8 ye ...
-
Head of Marketing
1 week ago
Superfly Air Sports Dortmund GmbH New York, United StatesUnter der Marke SUPERFLY werden mit über 500 Mitarbeitern und in 13 Parks branchenführendFreizeit-und Sportparks mit einer Mischung aus Trampolinen, Luftsportarten und anderen Attraktionenbetrieben. · SUPERFLY AIR SPORTS Parks sind mit einer Grundfläche von 2.500 m2 bis über 4.00 ...
-
Head of Retail Digital Acquisitions Marketing
8 hours ago
Citi New York, United StatesThe US Personal Banking organization is a leader in the financial services industry. With a pre-eminent global brand and distribution, Citi delivers industry-leading products, advanced services and payment systems that address clients' evolving needs. Integral to Citi's success i ...
-
HSBC New York, United States-Job description · Our purpose - Opening up a world of opportunity - explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the peo ...
-
Director, Head of Market Risk Stress Testing
2 days ago
Citi New York, United StatesThe Market Risk Stress Testing Reporting Lead is part of Citi's Risk Management community. Within Risk Management the role sits within the Data, Analytics, Reporting and Technology (DART) function. DART is responsible for (i) supporting intelligent risk decisions and proactive ma ...
-
Head of Marketing
2 weeks ago
Henderson Scott New York, United StatesHead of Marketing · Location: New York - In the office 3 days a week · Salary Expectations: k · Benefits: Stocks, Accelerators · I am working with a Series B funded Pre IPO CyberSecurity vendor. They have just secured their Series B and are now looking to double in growth thi ...
-
Head of Marketing
6 days ago
Double Down Group New York, United StatesHEAD OF MARKETING needed Hybrid NY or Boston areas only. $175k - $215k base plus bonus. MUST have experience in demand generation in some capacity working with clients on the buy side or directly on the buy side (hedge funds, asset managers, private equity, etc.). · My client is ...
-
Head of Marketing
2 weeks ago
WeAreAspire New York, United StatesPosition: Head of Marketing · Company: Conference Organizer · Compensation: $130k - $150k Base Salary + Bonus · Location: New York City (Hybrid) · Our client is seeking a Head of Marketing to lead all marketing efforts across their diverse portfolio of events in industries such a ...
-
Head of Marketing
5 days ago
NinetyEightConsulting New York, United StatesOur client is a renowned luxury fine jewelry brand founded in 2021. They are seeking a Head of Marketing to join their North America team in NYC. The ideal candidate is serving as the lead marketing executive. You will manage all marketing efforts including planning, research, ad ...
-
Head of Marketing
1 week ago
Plexus Resource Solutions New York, United StatesCMO / Head of Marketing - $200k-$280k base + equity/tokens · Plexus has partnered with an immersive AAA gaming studio that has a diverse portfolio of traditional, social and web3/metaverse gaming titles. Their gaming projects are shaped by the input of the gaming community, addi ...
-
Head of Marketing
1 week ago
Plexus Resource Solutions New York, United StatesCMO / Head of Marketing - $200k-$280k base + equity/tokens · Plexus has partnered with an immersive AAA gaming studio that has a diverse portfolio of traditional, social and web3/metaverse gaming titles. Their gaming projects are shaped by the input of the gaming community, addin ...
-
Head of Marketing
3 weeks ago
Audicus New York, United StatesWHO WE AREAudicus is a health-tech company based in New York City. We are changing the hearing aid industry with a leading telehealth solution that streamlines the hearing care experience from user testing to product delivery - both for consumers and providers. We are highly miss ...
-
Head of Marketing
1 week ago
Bohan & Bradstreet New York, United StatesVISION : · Established, North American real estate development company acquires, constructs, leases, and manages large commercial properties. Commercial demand is very strong. Company is targeting high-growth and affluent metropolitan areas to build. Revenues are increasing over ...
MD Head of Marketing - New York, United States - Ares Management
Description
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
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; Corporate Compliance, which administers global policies and central compliance and oversight functions; and Financial Crimes, which oversees Ares' adherence to financial crimes-related rules and regulations.
Ares is seeking a talented Compliance professional to serve as its Head of Marketing and Distribution Compliance. The ideal candidate will be responsible for overseeing the Ares' Compliance which serves as the primary day-to-day counsel to the Global Client Solutions (GCS), Investor Relations and Ares Wealth Management Solutions (AWMS) teams across all business units within the Firm with respect to distributing products and marketing materials (and other communications and documents) to third parties, including investors. The Head of Marketing and Distribution will also supervise the Firm's two Broker-Dealer entities with respect to their respective FINRA-licensed activities and associated regulatory compliance programs. In this capacity, the Head of Marketing oversee matters that arise in connection with investor suitability, domestic and global marketing registration, marketing material compliance review (including analysis and resolution of regulatory questions and/or issues), and investor and third-party communications. The ideal candidate will also be responsible to build and lead a coordinated global marketing and distributions program with a focus on strategically updating technology and processes used to satisfy regulatory requirements. This role will also work closely with others on Ares' global L&C team, including the Chief Compliance Officers of the business units, marketing review and distribution teams in the APAC and EMEA regions.
Reporting relationships
Reports to: Partner, Chief Regulatory Officer
Supervises: Marketing and Broker-Dealer Compliance teams (10+ members)
Primary functions and essential responsibilities
Specific responsibilities include, but are not limited to:
Education:
Compensation
The anticipated base salary range for this position is listed below. Total compensation may also include a discretionary performance-based bonus. Note, the range takes into account a broad spectrum of qualifications, including, but not limited to, years of relevant work experience, education, and other relevant qualifications specific to the role.
$250,000-$300,000
The firm also offers robust Benefits offerings. Ares U.S. Core Benefits include Comprehensive Medical/Rx, Dental and Vision plans; 401(k) program with company match; Flexible Savings Accounts (FSA); Healthcare Savings Accounts (HSA) with company contribution; Basic and Voluntary Life Insurance; Long-Term Disability (LTD) and Short-Term Disability (STD) insurance; Employee Assistance Program (EAP), and Commuter Benefits plan for parking and transit.
Ares offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more.
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.