Associate, Compliance
Company: Aristotle Capital Management
Location: Los Angeles
Posted on: November 1, 2024
Job Description:
Who We Are:With offices in Los Angeles, Newport Beach, Boston,
and Sarasota, Aristotle is a majority employee-owned investment
management organization that specializes in equity and fixed income
portfolio management for institutional and advisory clients
worldwide. Our mission is to help our clients reach their long-term
financial goals with active portfolio management using our
research-driven investment framework. Aristotle attracts and
retains talented investment professionals through a culture focused
on research, investment management, and client success.We are
currently seeking an Associate, Compliance to join our team.What
You Will Do:
- Oversee employees' Code of Ethics disclosures through the Star
Compliance portal to ensure completeness and accuracy.
- Maintain the firm's Code of Ethics and related policies and
procedures.
- Conduct compliance reviews of the firm's marketing
materials.
- Draft memos and desk procedures to document compliance projects
and workflows.
- Manage and oversee assigned client compliance reporting.
- Respond to due diligence questionnaires and compliance
reporting requests.
- Participate in ongoing compliance testing of the compliance
program.
- Facilitate the Vendor Management Review process and conduct
periodic vendor due diligence reviews.
- Contribute to the Compliance Department initiatives and ad-hoc
projects.
- May perform other duties as assigned.What You Will Need:
- 3-5 years of financial industry experience.
- Bachelor's degree from an accredited college or university, or
equivalent work experience.
- Understanding of investment adviser industry including the
Investment Advisers Act and Investment Company Act preferred.
- Strong analytical skills with excellent attention to
detail.
- Must possess a high level of integrity and strong work
ethic.
- Good judgement and ability to make timely and sound decisions,
especially with respect to audits, document requests, and special
projects.
- Excellent verbal and written skills.
- Ability to work independently, set priorities, and meet
deadlines.
- Strong MS Office and Excel skills required.
- Star Compliance and Charles River experience a plus.What We
Have to Offer:
- Robust Health, Dental, and Vision insurance for you and your
dependents
- 401(K) Retirement Plan with Employer Matching
- A culture that values inclusivity
- Flexible Paid time off, including annual Employee Volunteer
Day
- Life, Critical Illness, Disability, and Accidental Injury
Insurance
- Employee Assistance Program
- Various Company events throughout the year
- Employee Discount ProgramIs Aristotle Right for You?At
Aristotle, we stand by our core values.
- We place our clients' interests first.
- We act with integrity.
- We achieve excellence through accountability and
collaboration.
- We empower our employees.
- We are respectful.
- We value community.Compensation Range: $70,000.00 - $97,000.00,
plus discretionary bonus.Please note that the pay range provided is
a good faith estimate for the position at the time of posting.
Actual compensation will be dependent on factors, including but not
limited to, the individual's qualifications, relevant experience,
knowledge, skills, education, internal equity, and physical work
location within the state.This is a hybrid role, preference is to
be located within commuting distance of our Los Angeles, CA
office.We are looking for exceptional individuals who are
intelligent, enthusiastic, and curious, someone who will contribute
to our expanding business. An ideal candidate would not limit their
contribution to the provided job description but would help us
surpass our goals by continually finding ways to improve themselves
and the firm. If you would like the stability of a successful,
established company and the growth opportunities of a dynamic
environment, we look forward to hearing from you.Note: The above
description identifies the essential job functions and skills
needed by the person or persons assigned to this position. These
job functions and skills are not intended to be a complete and
exhaustive list of all responsibilities, duties, and skills
required. Reasonable accommodations may be made to enable
individuals with disabilities to perform the essential job
functions. The information contained herein is subject to change at
the company's discretion. No phone calls. No agencies or
recruiters.Aristotle is an Equal Employment Opportunity Employer.
Aristotle will consider for employment, qualified applicants with
criminal histories in a manner consistent with the requirements of
the Fair Chance Initiative for Hiring Ordinance.
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Keywords: Aristotle Capital Management, East Los Angeles , Associate, Compliance, Other , Los Angeles, California
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