The Compliance Specialist will be responsible for administering the Code of Ethics and monitoring personal securities activity of Artisan Partners’ associates and performing compliance testing and surveillance functions. The ideal candidate will have general compliance knowledge, strong analytical, interpersonal and organizational skills to drive efficiencies in current processes.
Responsibilities
The candidate can expect to:
- Manage personal trading and account entries in the ACA ComplianceAlpha database and other tracking spreadsheets, ensuring consistency and accuracy
- Review, analyze and process employee personal trading preclearance requests
- Review and reconcile paper-based account statements and confirmations related to employee trading
- Ensure timely and accurate data feeds and reconciliations into the ACA ComplianceAlpha system
- Prepare periodic reports and metrics regarding employee trading activity and holdings
- Deliver new employee training on applicable compliance policies
- Review and investigate potential Code of Ethics exceptions, escalating as necessary
- Proactively respond to associate inquiries and administer employee reporting and certification submissions
- Complete annual compliance testing and on-going surveillances, as assigned
- Assist with compliance team risk assessments and other compliance projects, as requested
- Provide analytical support to the compliance program by coordinating data extraction from various databases and systems
- Interpret and analyze data trends, identify root cause(s), and provide information and reporting on the compliance program and emerging risks to senior compliance members
- Recommend controls when identifying exceptions or trends
- Monitor regulatory and industry updates and make recommendations, as appropriate, regarding necessary changes to the compliance program
- 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, business administration or equivalent financial industry experience
- 2-5 years of broad compliance-related experience, preferably with an investment adviser
- Knowledge of equity and fixed income markets, trading practices and related instruments
- Ability to maintain a high degree of confidentiality
- Experience working with Charles River, Bloomberg, Aladdin, ACA ComplianceAlpha a plus, Microsoft Excel and Tableau proficiency is preferred
- Dedication to maintaining accurate desk procedures and Code of Ethics policies
- Ability to prioritize and meet multiple deadlines with a sense of urgency
- Strong organizational and analytical skills with a high level of attention to detail
- Strong written and verbal communication skills, including a focus on client service-mindedness
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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