Compliance Specialist - Code of Ethics

Job Description

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The Compliance Specialist will be responsible for administering the Code of Ethics and monitoring personal securities activity of Artisan Partners’ associates. The ideal candidate will have general compliance knowledge, strong analytical, interpersonal, and organizational skills to drive efficiencies in current processes.

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Location

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Milwaukee, WI

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Responsibilities

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The candidate can expect to:

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• Manage personal trading and account entries in the ACA ComplianceAlpha database and other tracking spreadsheets, ensuring consistency and accuracy
• Review, analyze and process employee personal trading preclearance requests
• Review and reconcile account statements and trade confirmations related to employee trading
• Ensure timely and accurate data feeds and reconciliations into the ACA ComplianceAlpha system
• Prepare periodic reports and metrics regarding employee trading activity and holdings
• Review and investigate potential Code of Ethics exceptions, escalating as necessary
• Proactively respond to associate inquiries and administer employee reporting and certification submissions
• Assist with compliance team risk assessments, surveillances, and other compliance projects, as requested
• Deliver new employee training on applicable compliance policies

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Qualifications

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The successful candidate will possess strong analytical skills and attention to detail. Additionally, the ideal candidate will possess:

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• 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 or broker-dealer
• Ability to maintain a high degree of confidentiality
• Knowledge of equity and fixed income markets, trading practices and related instruments
• Dedication to maintaining accurate desk procedures and Code of Ethics policies
• 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
• Employee compliance management systems experience, Microsoft Excel and Tableau proficiency is preferred