Senior Associate, Compliance

Aristotle Capital Management, LLC; Los Angeles (CA); Hybrid; USD 90,000 - 110,000; Full time

Benefits offered by this job

Health, dental & vision insurance

401(k) with employer matching

PTO & Volunteer Day

Life & Disability Insurance

Employee Assistance Program

Inclusive workplace culture

Company events & employee discounts

Job summary

Aristotle Capital Management, LLC is seeking a compliance professional to support the firm's registered investment adviser program. The role focuses on marketing review, regulatory filings, policies, and compliance monitoring in line with SEC and related acts. Hybrid work in Los Angeles area.

The ideal candidate has 3–5 years in financial services, strong integrity, and knowledge of asset management regulations, including the SEC Marketing Rule.

Qualifications

• Bachelor's degree required.
• 3–5 years of financial industry experience, preferably with an asset manager or similar financial services institution.
• Strong knowledge of asset management industry and regulatory framework.
• Familiarity with Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934.
• Working knowledge of the SEC Marketing Rule.

Responsibilities

• Participate in compliance review of firm marketing and advertising materials to comply with SEC rules and regulations, including the SEC Marketing Rule.
• Collaborate with marketing and client relationship personnel on workflow improvements.
• Lead reviews of Code of Ethics disclosures and reporting by employees.
• Assist with policy development and updates to address regulatory requirements.
• Respond to due diligence questionnaires and compliance reporting requests.
• Assist with preparation of regulatory filings.
• Stay current with compliance, regulatory, and legal developments in asset management.
• Translate developments into practical guidance and policy updates.
• Serve as a compliance point of contact for inquiries.
• Conduct vendor due diligence reviews and oversight.
• Support monitoring, testing and annual review activities under Rule 206(4)-7.

Skills

Regulatory knowledge

Analytical skills

Integrity

Decision making

Communication (verbal & written)

Independent work

Office tools / AI tools

Policy interpretation

Education

Bachelor's degree

Tools

Charles River

Star Compliance

Job description

Join Our Team at Aristotle

Who We Are

Aristotle is a majority employee-owned investment management organization with offices in Los Angeles, Newport Beach, Boston, and Sarasota. We specialize in equity and fixed income portfolio management for institutional and advisory clients around the world. Our mission is to help clients achieve their long-term financial goals through active portfolio management and a research-driven investment framework. Aristotle attracts and retains talented investment professionals through a culture focused on research, investment management and client success.

What You'll Do

This individual should be a dynamic self-starter who will support the firm's registered investment adviser compliance program, including marketing review, regulatory filings, policies and procedures, compliance monitoring, client and regulatory reporting and other compliance initiatives in adherence to the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules and regulations and other applicable regulatory requirements.

Key Responsibilities:

• Participate in compliance review of firm marketing and advertising materials to comply with SEC rules and regulations, including the SEC Marketing Rule.
• Collaborate with marketing and client relationship personnel on workflow improvements and address specific business needs.
• Lead reviews of Code of Ethics disclosures and reporting by employees to ensure completeness and accuracy.
• Policy: Compliance Manual and Code of Ethics
  • Recognize opportunities to enhance and improve existing policies and procedures.
  • Assist with the development of new policies to address regulatory requirements and evolving business needs.
• Respond to due diligence questionnaires and compliance reporting requests.
• Assist with the preparation of regulatory filings.
• Stay current with recent compliance, regulatory and legal issues, trends and upcoming developments in the asset management industry.
• Assist in translating regulatory developments into practical guidance and policy updates.
• Serve as a compliance point of contact to address a broad range of internal and external inquiries.
• Conduct periodic vendor due diligence reviews and related oversight activities.
• Support compliance monitoring, testing and annual review activities under Rule 206(4)-7.
• Provide back-up support to other Compliance team members as needed.
• Participate in Compliance Department initiatives and ad-hoc projects.

What You'll Bring

We recognize that not all candidates will meet every requirement.

Qualifications:

• Bachelor's degree from an accredited college or university required.
• 3-5 years of financial industry experience, preferably with an asset manager or similar financial services institution.
• Excellent working knowledge and understanding of the asset management industry.
• Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Working knowledge of the SEC Marketing Rule.
• Strong analytical and problem-solving skills to identify and address compliance issues effectively.
• Exceptional attention to detail with a strong focus on accuracy and compliance.
• Candidates must possess a high level of integrity and strong work ethic.
• Good judgement and ability to make timely and sound decisions.
• Excellent verbal and written skills, including the ability to interact effectively with personnel at varying levels at the firm.
• Ability to work independently, set priorities and manage multiple deadlines.
• Advanced knowledge of common business applications (i.e., Microsoft Office Suite Products) required, ability to appropriately leverage AI tools.
• Charles River and Star Compliance (or similar) program and software experience a plus.

What We Offer

• Comprehensive health, dental, and vision insurance for you and your dependents
• 401(k) with employer matching
• Paid time off, including an annual Employee Volunteer Day
• Life, Critical Illness, Disability, and Accidental Injury Insurance
• Employee Assistance Program
• Inclusive and supportive workplace culture
• Company events and employee discount programs

Our Core Values

• We place our clients' interests first.
• We act with integrity.
• We achieve excellence through accountability and collaboration.
• We empower our employees.
• We are respectful.
• We value community.

Location:

Hybrid - Los Angeles, CA

Compensation Range

$90,000.00 - $110,000.00 plus discretionary bonus.

The pay range provided is a good faith estimate for the position at the time of posting. Actual compensation will be dependent on factors, including but not limited to, the individual's qualifications, relevant experience, knowledge, skills, education, internal equity, and physical work location within the state.

Note: The above description identifies the essential job functions and skills needed by the person or persons assigned to this position. These job functions and skills are not intended to be a complete and exhaustive list of all responsibilities, duties and skills required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions. The information contained herein is subject to change at the company's discretion.

Aristotle is an Equal Employment Opportunity Employer. Aristotle will consider for employment, qualified applicants with criminal histories in a manner consistent with the requirements of the Fair Chance Initiative for Hiring Ordinance.

Aristotle Capital Management, LLC, Aristotle Credit Partners, LLC, Aristotle Capital Boston, LLC, Aristotle Atlantic Partners, LLC, Aristotle Pacific Capital, LLC, and Aristotle Investment Services, LLC, are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940, as amended. Registration does not imply a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part 2, which is available upon request.