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 working closely with our marketing and distribution groups to ensure compliance in our marketing and distribution efforts and producing compliance-related reporting (internal and client-facing). 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 or enhance processes to understand and be in alignment with regulatory expectations.
ResponsibilitiesThe candidate is expected to:
- 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
- Review complex materials in a timely manner, communicate comments effectively and work with business partners for creative solutions to issues
- Assist with documentation of various policies, procedures, and memos
- Assist with annual compliance testing and surveillances, including the use of the Firm's trade surveillance tool
- 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
- Actively participate in various compliance group projects and initiatives
- Develop working knowledge of various Artisan systems and business operations
QualificationsThe 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, or equivalent financial industry experience
- 5+ years in the financial services industry; asset management preferred
- Knowledge of SEC and FINRA marketing rules
- Knowledge of Non-U.S. rules relating to the marketing of UCITS and private funds is a plus
- Knowledge of equity and fixed income markets, trading practices, and related instruments
- FINRA SIE, 7 and 24 licenses or ability to obtain them
- Proficiency in Microsoft Office Applications, strong Excel skills (required)
- Experience working with Red Oak AdMaster, Global Relay, or Tableau a plus
- Ability to make independent judgments and handle confidential information
- Strong written communication skills
- Ability to demonstrate resourcefulness, creativity, and initiative by identifying opportunities to enhance existing processes and implementing, as appropriate
- 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
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