Compliance Specialist
Artisan Partners•Milwaukee, WI
•Hybrid
About The Position
The Compliance Specialist will be involved in various aspects of an ever-changing regulatory landscape within the Compliance Team of a global asset management firm. This individual will be primarily responsible for producing compliance-related reporting and working closely with internal partners to ensure compliance with regulatory requirements and firm policies. This individual will also be involved in special projects as they arise. This role will work closely with senior members of the Compliance team to build out and enhance processes in alignment with regulatory expectations.
Requirements
- Strong analytical skills and attention to detail
- Knowledge of equity and fixed income markets, trading practices, and related instruments
- Proficiency in Microsoft Office Applications, strong Excel skills (required)
- Ability to make independent judgments and handle confidential information
- Strong written communication skills
- Ability to demonstrate resourcefulness, creativity, and initiative by identifying and implementing process enhancements
- Ability to prioritize and meet multiple deadlines with a sense of urgency
- Solid interpersonal and communication skills, including a high degree of client service-mindedness
Nice To Haves
- Bachelor’s degree in Finance, Accounting, Economics, or Business Administration a plus
- 1-2 years in the financial services industry a plus
- Experience working with Aladdin, Charles River, Bloomberg, Advent Geneva, or Tableau a plus
Responsibilities
- Prepare periodic compliance reports and attestations, as well as respond to various questionnaires and certifications
- Research and respond to internal and external compliance-related inquiries
- Draft and review compliance-related responses to RFPs
- Prepare documentation for due diligence meetings, compliance meetings and regulatory examinations
- Interpret and apply knowledge of rules and regulations to correspondence, sales literature, advertisements, institutional material, RFPs, and other types of communication to ensure compliance with applicable regulations
- Assist with the administration of the Code of Ethics and related processes
- Assist with documentation of various policies, procedures, and memos
- Assist with annual compliance testing and surveillances
- Actively participate in various compliance group projects and initiatives
- Develop working knowledge of various Artisan systems and business operations
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
