Compliance Specialist jobs in Wisconsin

A
Compliance Specialist - Marketing Compliance
  • Artisan Partners
  • Milwaukee, WI FULL_TIME
  • 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.

    Location: Milwaukee, WI

    Responsibilities

    The candidate can expect 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

    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, or Business Administration, or equivalent financial industry experience
    • 5 years in the financial services industry; asset management preferred
    • Knowledge of SEC and FINRA rules relating to the marketing of U.S. mutual and private funds
    • 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 or an equivalent combination within six months of hire
    • Proficiency in Microsoft Office Applications, strong Excel skills (required)
    • Experience working with Red Oak AdMaster, Charles River, Bloomberg, Aladdin, ACA Market Abuse Surveillance, 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

    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.

  • 5 Days Ago

A
Compliance Specialist
  • Artisan Partners
  • Milwaukee, WI FULL_TIME
  • The Compliance Specialist will be responsible for administering the Code of Ethics and monitoring personal securities activity of Artisan Partners’ associates and performing compliance testing and sur...
  • 9 Days Ago

D
Compliance Specialist
  • Dynamic Lifecycle Innovations
  • Onalaska, WI FULL_TIME
  • OEM Compliance Specialist With a knack for detail and a passion for environmental regulations, you would be an essential addition to the Dynamic Team! At Dynamic Lifecycle Innovations, our mission is ...
  • 14 Days Ago

S
Compliance Specialist
  • Sterling
  • GERMANTOWN, WI FULL_TIME
  • This is a generic vacancy template.
  • 18 Days Ago

7
Compliance Inspector
  • 7G Environmental Compliance Management
  • Madison, WI PART_TIME
  • Our CompanyAt 7G, we're the go-to partner for petroleum tank owners across the country. We tackle environmental challenges while consistently keeping things compliant. Our values are simple: excellenc...
  • 2 Days Ago

7
Compliance Inspector
  • 7G Environmental Compliance Management
  • Milwaukee, WI PART_TIME
  • Our CompanyAt 7G, we're the go-to partner for petroleum tank owners across the country. We tackle environmental challenges while consistently keeping things compliant. Our values are simple: excellenc...
  • 2 Days Ago

M
Material Compliance Specialist
  • MacLean-Fogg
  • Mundelein, IL
  • Material Compliance Specialist Mundelein, IL, 1000 Allanson Road, Mundelein, Illinois, United States of America Req #337...
  • 3/19/2024 12:00:00 AM

B
Senior Quality & Compliance Specialist
  • Bayer
  • Kihei, HI
  • At Bayer we’re visionaries, driven to solve the world’s toughest challenges and striving for a world where 'Health for a...
  • 3/18/2024 12:00:00 AM

U
Compliance Specialist
  • US Tech Solutions
  • Duration: 9 Months Job Description: In-depth knowledge of laws and regulations as they apply to the plant- preferred. Ex...
  • 3/18/2024 12:00:00 AM

A
International Export Compliance Specialist
  • Ace Hardware
  • Oak Brook, IL
  • The Job The International Export Compliance Specialist will be responsible for accurately performing export operational ...
  • 3/14/2024 12:00:00 AM

A
EMEA Trade Compliance Specialist
  • Arrow Electronics, Inc.
  • Sevenum, Limburg
  • Position: EMEA Trade Compliance Specialist Job Description: As Arrow Global Components (AGC), a part of Arrow Electronic...
  • 3/11/2024 12:00:00 AM

A
EMEA Trade Compliance Specialist
  • Arrow Electronics, Inc.
  • Milano, Milano
  • Position: EMEA Trade Compliance Specialist Job Description: As Arrow Global Components (AGC), a part of Arrow Electronic...
  • 3/11/2024 12:00:00 AM

A
HR & Compliance Specialist
  • ADP
  • Tempe, AZ
  • At ADP we are driven by your success. We engage your unique talents and perspectives. We welcome your ideas on how to do...
  • 3/2/2024 12:00:00 AM

A
HR & Compliance Specialist
  • ADP
  • Miami, FL
  • At ADP we are driven by your success. We engage your unique talents and perspectives. We welcome your ideas on how to do...
  • 3/2/2024 12:00:00 AM

Wisconsin is bordered by the Montreal River; Lake Superior and Michigan to the north; by Lake Michigan to the east; by Illinois to the south; and by Iowa to the southwest and Minnesota to the northwest. A border dispute with Michigan was settled by two cases, both Wisconsin v. Michigan, in 1934 and 1935. The state's boundaries include the Mississippi River and St. Croix River in the west, and the Menominee River in the northeast. With its location between the Great Lakes and the Mississippi River, Wisconsin is home to a wide variety of geographical features. The state is divided into five dist...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Specialist jobs
$57,769 to $73,562

Compliance Specialist in Washington, DC
Maintains computer files, paperwork and records to control the receipt, storing, issuing, replenishing and inventorying of commonly used general office supplies and equipment.
January 27, 2023
Compliance Specialist in Salisbury, CT
Attends meetings and seminars as needed.
May 08, 2023
Compliance Specialist in Milwaukee, WI
Registered Nurse (RN) (Required).
April 16, 2023