Ariel Investments is a premier, boutique, asset management firm. Our primary goal is to drive exceptional investment returns by bringing diverse perspectives together. The only way to beat a benchmark is to not look like one. As value investors, our thinking is deliberate and unconventional. We offer an independent, patient investing approach and aim to deliver excellence in any environment. We uphold our fiduciary responsibility to every shareholder, no matter how big or small.

At Ariel, we strongly believe that teamwork yields results—which is why we have Co-CEOs. John Rogers and Mellody Hobson share a desire to cultivate leaders who are curious, focused and disciplined. We are nimble and efficient. Our drive is fanatical and intentional. Everyone plays their position, and each contribution is critical to our firm’s success. We seek subject matter experts who are unapologetically themselves. We encourage our employees to reach their full potential and we give them the runway to do so.

After four decades of active investing, we remain committed to our clients, our teammates and our community. We strive to be best-in-class investors and pioneer a path for those who entrust us with their financial future.

Position Summary

Ariel Investments is looking for a Senior Compliance Analyst who will report to Ariel Investments’ Chief Compliance Officer (CCO) and assist the CCO in establishing, managing, and administering the compliance policies and procedures for Ariel Investments, LLC (the Adviser), Ariel Distributors, LLC (the Distributor) and Ariel Investment Trust (the Funds) (collectively, the Ariel Entities). The responsibilities include working with personnel throughout the firm, as well as the Funds’ service providers, to adopt and implement written policies and procedures and to assist the CCO with the annual review of the adequacy of such procedures. The Senior Compliance Analyst assists with the development of the team’s other legal and compliance professionals as well as other firm personnel in connection with their compliance responsibilities.

Responsibilities

Work with the CCO to lead and conduct compliance risk assessments and compliance testing in connection with the annual review of the Ariel Entities’ respective compliance programs, and developing enhanced methods of monitoring compliance and creating desktop procedures pertaining to such.
Managing and administering the Ariel Entities compliance training program inclusive of identifying relevant industry topics for compliance training.
Managing and administering the Ariel Entities political activities compliance program; monitoring employee political contributions leveraging our StarCompliance tool
Monitoring advertising, marketing and social media compliance.
Monitoring trading compliance, preparing and filing Form 13H and participating in the trading oversight committee.
Monitoring vendor oversight compliance and participating in the vendor oversight committee.
Monitoring valuation compliance and participating in the valuation committee.
Assisting the vice president, compliance in enhancing and administering the Code of Ethics (COE) compliance program via the electronic COE administration system StarCompliance; monitoring employee personal securities transactions, outside employment and business activities, gifts & entertainment, and managing quarterly and annual certifications.
Assisting the vice president, compliance in preparing and filing Schedules 13G and Forms 13F.
Assisting the CCO with managing the Distributor’s compliance program including updating the compliance procedures, managing the continuing education program and preparing and filing Forms BD, BR, U-4 and U-5 and the annual audit
Assisting with automating compliance workflows throughout the firm.
Assisting the CCO with the training and development of the team’s other legal and compliance professionals and working with other managers throughout the firm in staff development pertaining to their team’s compliance functions including drafting and updating compliance policies and procedures

Qualifications

Bachelors degree and minimum of 5 years prior experience in the investment adviser, broker-dealer, investment company and private equity industry in a compliance capacity
FINRA Series 7 and 63 licenses preferred, or required within 120 days of hire
Extensive knowledge of investment adviser, broker-dealer and investment company operations
Working knowledge of portfolio accounting (Eagle), trading (Charles River), customer relationship management (Infor, moving to SalesForce), COE compliance management (StarCompliance), trade cost analysis and trading compliance (Abel Noser) systems; Web CRD and IARD; quickly grasps new technologies and is able to develop enhancements to processes leveraging the technologies
Needs minimal or no supervision when using and leveraging systems for compliance work and testing
Excellent communication skills and ability to communicate with all levels of personnel to ensure compliance with policies, rules and regulations.
Demonstrated analytical and writing skills and attention to detail
Proficiency with Microsoft Word, Microsoft Excel (including use of tools such as v-lookup and pivot tables) and PowerPoint

Compliance:

Ariel employees, including the incumbent(s) in this position, are required to: (1) read and strictly adhere to all compliance policies and procedures of the various Ariel entities, as applicable; and (2) work together with their colleagues, including the CCO, to resolve compliance issues.

Equal Opportunity Employer / Diversity:

Ariel celebrates diversity and practices inclusion as a way to get work done – it’s in our DNA. As an equal opportunity employer, employment decisions are based on business needs, job requirements and individual qualifications without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, ancestry, marital status, parental status (including pregnancy), disability, perceived disability, veteran status, status of military discharge, or any other basis under federal, state, or local law. Ariel prohibits discrimination against an applicant or employee because of their actual or perceived protected characteristic(s), and is committed to recruiting, retaining, and developing a diverse group of talented applicants, and to providing employees with a workplace free from discrimination and/or harassment.

Equal employment opportunity takes place in all employment practices, including recruiting, hiring, promotion, demotion, compensation, and termination. The firm seeks to uphold an inclusive culture where diversity is recognized and valued. As such, Ariel provides employees a robust benefits package that includes:

Coverage for same-sex partner (domestic or spouse)
Coverage for children (natural born, step, adopted or foster)
Fully paid medical insurance that covers fertility treatments, gender affirmation
Employer contributions to a Health Savings Account
Maternity leave at 100% pay (12 weeks)
Paid Parental Leave (up to 12 weeks depending on tenure)

Lastly, all employees have access to Ariel-sponsored educational, training, and recreational activities.

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Privacy Notice and Authorization for Ariel Employees, Applicants, and Contractors February 2022 *

Privacy Notice and Authorization for Ariel Employees, Applicants, and Contractors February 2022

This Privacy Notification (“Notification”) explains how Ariel Investments, LLC and its affiliates (collectively “Ariel”) collects, uses, and shares (collectively “process”) personal information that we obtain about current and former employees, applicants, officers, part-time workers, interns, and independent contractors (“Employees”).

Types of Personal Data We Process

Ariel collects personal information (“Personal Information”) about Employees (which may also include your dependents, family members, partners, etc.) through the following avenues: directly from you, from third parties, service providers, contractors, or public sources. We and our authorized service providers, contractors, and third parties process information about you and, depending on the jurisdiction in which you reside, the information we collect may constitute personal data under applicable data protection and privacy laws. The categories of Personal Information we collect are as follows:

Identifiers, such as name, postal address, email address, social security number, driver’s license number or similar identifier, account name, unique personal identifier, etc.
Associated identifiers, such as telephone numbers, signature, bank account number or other financial information, medical information or health insurance information, credit history, including bankruptcies, criminal background, etc. (e.g., see CA Civ. Code §1798.81.5).
Protected classifications of data, such as race, sex/gender, marital status, national origin, age, disability, marital status, veteran status, etc.
Commercial information, including your bank account, brokerage and investment account details, records associated with personal property, or other purchasing or consuming histories or tendencies, including credit history and bankruptcies.
Biometric information, including fingerprints.
Digital identifiers, such as Internet or other electronic network activity information, such as cookies when you access our website, computer use, browsing history, search history, etc.
Geolocation data, such as data acquired from your computer or mobile device to identify your physical location.
Sensory information such as audio, electronic, visual, or similar information.
Professional or employment-related information, including your role/position/title and area of responsibility, information collected about you and your beneficiaries for the provision of benefits, and information about salary and payroll;
Education information, such as licenses, and accreditation information, including Personal Information which is not publicly available.
Sensitive Personal Information, such as social security number, driver’s license number, passport number, race or ethnic origin, biometric information, etc.

How We Collect Your Personal Data

We and/or our authorized service providers and third parties collect Employee Personal Information directly from you or as a result of our employment relationship with you.

We will also obtain Employee Personal Information from authorized third parties acting to provide us with information, such as third parties conducting pre-employment checks, third parties processing references on our behalf, health service providers, pension and benefit administrators, learning and development organizations, data analysis and survey companies, payroll processing companies, and any other services related to our human resources efforts.

The Employee Personal Information we obtain through these sources may include your personal details, contact details, identification documents, personal identifiers, and financial account information. Some of this information will be publicly accessible and some will be gained from reliable and independent databases we access through authorized third parties.

While we make every effort to ensure that all Employee Personal Information is accurate, complete, and up to date, you should regularly update and/or correct your personal data by contacting Human Resources. We are not responsible for the accuracy of any Employee Personal Information or any losses resulting from any inaccurate or deficient data that you supply to us.

If you refuse any of our collection requests, we may not be able to process your personal data for certain purposes. This may affect your ability to receive certain benefits.

Business Purposes for Processing Employee PERSONAL INFORMATION

Employee Personal Information may be processed by us, our affiliates, service providers, contractors, and authorized third parties for the business purpose of maintaining operations and performing services on behalf of the business, which may include:

Managing the recruitment of Employees.
Administering human resource functions, including performance reviews and appraisals, sickness leave, training, internal directories and organizational charts, internal communications, and dealing with disciplinary actions, termination, and retirement of Employees.
Administering payroll, the payment of expenses, remuneration and other benefits of Employees, such as bonuses, equity ownership, loans, pensions, health insurance, life insurance, travel insurance, death, or disability benefits.
Managing Employee communications, including authorizing, granting, and administering access to or use of our systems, facilities, devices and records, including management of email accounts.
Carrying out audits and investigating or resolving complaints, grievances, or misconduct.
Preparing for, complying with and/or responding to inquiries, investigations, or proceedings by governmental, administrative, judicial, or regulatory authorities, including civil litigation.
Responding to due diligence requests from our existing clients or requests for information/ requests for proposals from prospective clients.
Monitoring Employees in accordance with our policies and procedures and applicable laws, including to establish certain facts, to verify that the business is complying with regulatory or self-regulatory procedures, to investigate and detect unauthorized use of the system, and to prevent or detect crime.
In connection with a potential asset or stock acquisition, or the outsourcing or insourcing of services provided by Employees, providing reasonable diligence material to a third party or meeting any disclosure obligations as required by law.
Debugging to identify and repair errors that impair existing intended functionality.
Performing services on behalf of the business, including maintaining and servicing accounts, providing investor service, processing or fulfilling orders or transactions, verifying investor information, processing payments, providing financing, providing analytic services, providing storage, or providing similar services on behalf of the business.
Providing advertising and marketing services.
Undertaking internal research for technological development and demonstration.
Undertaking activities to verify or maintain the quality or safety of a service that is controlled by the business, and to improve, upgrade, or enhance the service.

Disclosure of Employee Personal Information and Recipients

Employee Personal Information may be disclosed to the extent necessary for the above purposes to the following recipients:

Affiliates or Ariel Investments and related parties, such as Ariel Investments Trust.
Service providers, contractors, and third parties authorized by Ariel or you to support its human resources functions, benefits administration, or business operations.
Fraud prevention agencies and law enforcement agencies;
Courts, governmental and non-governmental regulators, tax authorities, and ombudsmen;
Legal representatives of the Company, such as our counsels, accountants, and auditors.
Prospective or existing clients and their representatives, consultants, and other agents.
Any third party that acquires, or is interested in acquiring, all or a substantial part of our assets or equity ownership, or that succeeds us in carrying on all or part of Ariel’s business, whether by merger, acquisition, reorganization, or otherwise; or
As required or permitted by law, including to comply with a subpoena or similar legal process or government request, or when we believe in good faith that disclosure is legally required or we have a legitimate interest in making such disclosure, such as where necessary to protect our rights and property.

California Privacy Rights

Ariel complies with the California Consumer Privacy Act (“CCPA”) and the California Privacy Rights Act (“CPRA”) (“CCPA/CPRA”). If you are a California resident, you can make certain requests regarding your Personal Information. We respond to these requests as required by California law.

Rights Under California Law

You have the right to notice and disclosure at or before the point of collection of (a) the categories of Personal Information and sensitive personal information (“Sensitive Personal Information”) collected, (b) the purposes for the collection, (c) whether the Personal Information/Sensitive Personal Information is sold or shared, and (d) the length of time it will be retained, or the criteria used to determine the retention period, but Ariel will not retain Personal Information or Sensitive Personal Information longer than reasonably necessary for the disclosed purpose. Ariel will not collect additional categories of Personal Information/Sensitive Personal Information or use the collected Personal Information/Sensitive Personal Information for any purpose incompatible with the purpose for which it was collected, without providing you notice.

You have the right to request that Ariel delete any Personal Information/Sensitive Personal Information about you which has been collected from you.

You have the right to request that Ariel correct any inaccurate Personal Information/Sensitive Personal Information it has about you.

You have the right to request that Ariel disclose to you:

The categories of Personal Information/Sensitive Personal Information it has collected about you
The categories of sources from which the Personal Information/Sensitive Personal Information was collected
The business purpose for collecting, selling, or sharing your Personal Information/Sensitive Personal Information
The categories of third parties to whom Ariel disclose your Personal Information/Sensitive Personal Information
The specific Personal Information/Sensitive Personal Information that Ariel has collected about you.

You have the right to know what Personal Information/Sensitive Personal Information is sold or shared and to whom. You have the right to request that Ariel disclose to you:

The categories of Personal Information/Sensitive Personal Information that Ariel has collected about you
The categories of Personal Information/Sensitive Personal Information that Ariel has sold or shared about you and the categories of third parties to whom the Personal Information/Sensitive Personal Information was sold or shared, by category of Personal Information/Sensitive Personal Information for each category of third party
The categories of your Personal Information/Sensitive Personal Information that Ariel disclosed for a business purpose and the categories of persons to whom it was disclosed for a business purpose.

You have the right to opt out of the sale or sharing of your Personal Information/Sensitive Personal Information to third parties by directing Ariel not to sell or share your Personal Information/Sensitive Personal Information.

You have the right to direct Ariel to limit the use of your Sensitive Personal Information to (a) that which is necessary to perform the services you requested, (b) that which is necessary to perform an allowed business purpose, or (c) as authorized by regulations. If Ariel uses or discloses your Sensitive Personal Information for purposes other than these, we will provide you notice that your Sensitive Personal Information may be used or disclosed to a service provider or contractor for additional purposes and you have the right to direct us to limit such use or disclosure of your Sensitive Personal Information.

You have the right to exercise these rights without any retaliation or discrimination, such as denying you services, charging you different rates for services, providing a different level of service, or suggesting you will receive a different price or rate for services or different quality of service.

You can make requests pursuant to these rights by calling the following toll-free number: +1-800-725-0140 or by sending a written request to Chief Privacy Officer, Ariel Investments LLC, 200 East Randolph Street Suite 2900. Chicago, IL 60601. California residents may also designate an authorized agent to make a request for access on their behalf by emailing Legal&Compliance@arielinvestments.com.

When California residents exercise these rights and submit a request, Ariel will verify their identity against information we have about you. We may also ask you for certain information (such as name, address, telephone, or email) or to confirm certain information we have about you, such as your social security number. Ariel will endeavor to honor individual requests within thirty (30) days, but will notify you if more time is needed. Please note that some requests may conflict with certain lawful exemptions under the CPRA, in which case you will be notified of such conflict. Ariel and is only required to honor such requests twice in a twelve (12) month period.

Exercise of these rights will have no adverse effect on your employment.

Ariel does not share any Personal Information for cross-context behavioral advertising.

For additional information on Ariel’s compliance with the CPRA, please see Ariel’s Privacy Policy available at https://www.arielinvestments.com/privacy-notice/.

Inquiries, Requests, or Concerns

All inquiries, requests, or concerns regarding this Privacy Notification or relating to the processing of Employee Personal Information should be sent to Human Resources at HR@arielinvestments.com.

ACKNOWLEDGEMENT

By checking this box, I hereby acknowledge that I have read the above privacy notice and authorize Ariel’s use, transfer, disclosure, sharing, etc. of the Personal Information I provide with third parties as necessary for business operations.

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Ariel Investments’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

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A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

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