Compliance Specialist

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.
Responsibilities
The candidate can expect to:
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
Qualifications
The successful candidate will possess strong analytical skills and attention to detail. Additionally, the ideal candidate will possess:
Bachelor’s degree in Finance, Accounting, Economics, or Business Administration a plus
1-2 years in the financial services industry a plus
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
Experience working with Aladdin, Charles River, Bloomberg, Advent Geneva, or Tableau a plus
Privacy Notice for California Applicants
Artisan Partners Limited Partnership is an equal opportunity employer. Artisan Partners does not discriminate on the basis of race, religion, color, national origin, gender, age, disability, marital status, sexual orientation or any other characteristic protected under applicable law. All employment decisions are made on the basis of qualifications, merit and business need.
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