Financial Services, Investment Management

Compliance Specialist

Milwaukee, WIHybridFull TimeEntry-level (exp-based)Posted 1 month agoVisa sponsorship available

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Required skills

compliance reporting
regulatory requirements
firm policies
special projects
compliance team
regulatory expectations
compliance reports
attestations
questionnaires
certifications

Nice to have

finance
accounting
economics
business administration
financial services industry
Aladdin

Role summary

A global asset management firm is seeking a Compliance Specialist to join their Compliance Team. This role involves producing compliance reports, ensuring adherence to regulations and policies, and assisting with special projects. The specialist will work with senior team members to enhance processes and will be responsible for preparing reports, responding to inquiries and RFPs, and assisting with the administration of the Code of Ethics and compliance testing. Strong analytical skills, attention to detail, and proficiency in Microsoft Excel are required. Knowledge of financial markets and experience with specific financial software are a plus.

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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