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Compliance Specialist

Artisan Partners
Milwaukee, USA
Full-time
Entry · 1+ years experience
Hybrid
Discovered 4 weeks ago
Microsoft OfficeAladdinCharles RiverBloombergAdvent GenevaTableau

Full Job Posting

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.
  • #LI-Hybrid/span>

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