What are the responsibilities and job description for the Compliance Specialist position at Artisan Partners?
The Compliance Specialist will be responsible for performing compliance testing and surveillance functions, as well as general compliance functions. The ideal candidate will have experience and general compliance knowledge, strong analytical, interpersonal and organizational skills to drive efficiencies in current processes.
Location: Milwaukee, WI
Responsibilities
The candidate can expect to:
The successful candidate will possess strong analytical skills and attention to detail. Additionally, the ideal candidate will possess:
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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Location: Milwaukee, WI
Responsibilities
The candidate can expect to:
- 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
- Review and investigate items of interest within the compliance trade surveillance platform (ACA ComplianceAlpha), escalating as necessary
- Ensure timely and accurate data feeds into the trade surveillance platform
- Complete annual compliance testing and on-going surveillances, as assigned
- Prepare periodic reports and metrics regarding testing and surveillance results
- Recommend controls when testing and surveillance results identify exceptions or trends
- Assist with compliance team risk assessments and other compliance projects, as requested
- Assist with associate political contribution requests and approvals
- Assist with associate gifts and business entertainment requests and approvals
- Assist with the firm’s anti-money laundering program
- Assist with service provider oversight for compliance team vendors
- Chaperone and summarize investment personnel’s expert network calls
- Actively participate in various other compliance group projects and initiatives
- 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
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, and ACA ComplianceAlpha a plus, Microsoft Excel and Tableau proficiency is preferred
- Dedication to maintaining accurate desk procedures
- 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
- Ability to make independent judgement and handle confidential information
- Ability to demonstrate resourcefulness, creativity and initiative by identifying opportunities to enhance existing processes and implementing as appropriate
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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