The Compliance Specialist plays a key role in supporting and enhancing Artisan Partners’ compliance program. This position partners closely with experienced compliance professionals and internal teams to perform testing, surveillance, and risk analysis while helping to drive continuous improvement across compliance processes. The ideal candidate brings a strong analytical mindset, sound compliance fundamentals, and a proactive approach to problem-solving.
Location: Milwaukee, WI
Responsibilities
The candidate can expect to:
- Provide analytical support to the compliance program, including coordinating and validating data extracted from multiple systems and databases
- Analyze data trends, identify root causes, and prepare reporting and insights related to compliance activities and emerging risks for senior compliance leadership
- Review and investigate alerts and items of interest within the firm’s trade surveillance platform (ACA ComplianceAlpha), escalating matters as appropriate
- Ensure the accuracy, completeness, and timeliness of data feeds into surveillance systems
- Execute annual compliance testing and ongoing surveillance reviews, documenting results and tracking remediation
- Prepare periodic compliance reports, dashboards, and metrics summarizing testing and surveillance outcomes
- Recommend enhancements to controls and processes when exceptions, trends, or gaps are identified
- Support compliance risk assessments and contribute to special projects and regulatory initiatives
- Assist with administration and review of:
- Associate political contribution requests
- Gifts and business entertainment approvals
- The firm’s anti-money laundering (AML) program
- Support oversight of third-party service providers and compliance vendors
- Chaperone and summarize expert network calls involving investment personnel
- Monitor regulatory and industry developments and recommend updates to policies, procedures, or controls as needed
- Develop working knowledge of various Artisan systems and business operations
Qualifications
The successful candidate will possess strong analytical skills and attention to detail. Additionally, the ideal candidate will possess:
- Bachelor’s degree in finance, accounting, economics, business administration or equivalent financial industry experience
- 1—2 years of professional experience or relevant internships in compliance, internal audit, risk management, or a related analytical role within financial services
- 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.
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