COMPLIANCE ASSOCIATE

  • Within range & comensurate w/experience
  • West Los Angeles, CA, USA West Los Angeles CA US
  • Permanent, Full time
  • Aristotle Capital Management, LLC
  • 13 Jun 18 2018-06-13

With offices in Los Angeles, Newport Beach, Boston and New York, Aristotle is a family of employee-owned investment management firms that collectively manage equity and fixed income strategies. Aristotle attracts and retains talented investment professionals through a culture focused on research, investment management and client success.

Aristotle’s experienced corporate leadership team oversees a centralized support infrastructure to ensure that our distinct teams of investment professionals are able to focus on what they do best—adding value to client portfolios.  The company’s support infrastructure includes shared services such as finance, compliance, trading, operations, client communication, marketing and distribution.   

Please visit www.aristotlecap.com for more information on our firm.

Job Title:             Compliance Associate

Location:             Los Angeles, CA

Role:                    

We are currently seeking a Compliance Associate to join our team.  This individual should be a dynamic self-starter who will assist in all aspects of compliance in adherence to the Investment Advisers Act of 1940, the Investment Company Act of 1940 and other regulatory policies.

This position will report to the Senior Compliance Officer.

What You Will Do:

  • Participate in the compliance review of firm marketing materials
  • Participate in new account on-boarding process including review and coding of client investment policies
  • Code of Ethics policies monitoring and administration
  • Assist with preparation of regulatory filings
  • Assist with compliance program quarterly testing
  • Respond to due diligence questionnaires and compliance requests
  • Assist with enterprise risk assessment program
  • Participate in Compliance Department initiatives and ad-hoc projects

What You Will Need:

  • Understanding of investment adviser industry including the Investment Advisers Act and Investment Company Act preferred
  • Strong analytical skills with excellent attention to detail
  • Good judgement and ability to make timely and sound decisions
  • Excellent verbal and written skills
  • Ability to work independently, set priorities and meet deadlines
  • Strong MS Office skills required
  • Advent, Charles River experience a plus

Education:

Bachelor’s degree from an accredited college or university

Work Experience:

Minimum of 2 - 4 years of financial industry experience

What We Have to Offer

  • Health, dental, and vision insurance
  • Life insurance
  • 401(K) matching
  • Paid time off
  • Wednesday lunch and quarterly breakfast
  • Various Company events throughout the year

Is Aristotle Right for You?

We are looking for exceptional individuals who are intelligent, enthusiastic, and curious, someone who will fit within our culture and 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.

 

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.

 

Interested applicants must provide a cover letter and resume.

No phone calls.  No contact from 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.

Aristotle Capital Management, LLC, Aristotle Credit Partners, LLC, Aristotle Capital Boston, LLC, and Aristotle Atlantic Partners, LLC are affiliated organizations. Each is an independent investment adviser separately registered under the Investment Advisers Act of 1940, as amended. Registration does not imply a certain level of skill or training. More information about each adviser including the investment strategies, fees and objectives can be found in their ADV Part 2, which is available upon request.