Artisan Partners
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Compliance Specialist
role at
Artisan Partners
Location: Milwaukee, WI
Responsibilities
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
Qualifications
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
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.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Sales
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Compliance Specialist
role at
Artisan Partners
Location: Milwaukee, WI
Responsibilities
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
Qualifications
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
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.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Sales
#J-18808-Ljbffr