Compliance Specialist

Artisan Partners Limited; Milwaukee (WI); On-site; USD 65,000 - 85,000; Full time

Job summary

Artisan Partners Limited Partnership is seeking a Compliance Specialist to join the Compliance Team. The role focuses on producing compliance-related reporting and coordinating with internal partners to ensure adherence to regulatory requirements and firm policies.

You will engage in special projects, support Code of Ethics administration, and help enhance compliance processes in alignment with regulatory expectations, working closely with senior team members.

Qualifications

• 1–2 years in financial services is a plus.
• Proficient in Microsoft Office, especially Excel.
• Strong written communication and ability to handle confidential information.

Responsibilities

• Prepare periodic compliance reports and attestations.
• Respond to internal and external compliance inquiries.
• Draft responses to RFPs and regulatory questionnaires.
• Prepare documentation for due diligence meetings and regulatory examinations.
• Ensure communications comply with regulations and firm policies.
• Assist with administration of the Code of Ethics and procedures.
• Document policies, procedures, and memos.
• Support annual compliance testing and surveillance.
• Participate in compliance group projects and initiatives.
• Build knowledge of Artisan systems and operations.

Skills

Excel

Financial markets

Confidential data

Written communication

Process improvement

Time management

Client service

Education

Bachelor’s degree in Finance, Accounting, Economics, or Business Administration

Tools

Aladdin

Charles River

Bloomberg

Advent Geneva

Tableau

Job description

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

• 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

• 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.