Regulatory Lawyer / Compliance Officer recruitment
Group Profile:
Artisan Partners UK is part of the Artisan Partners group. Artisan Partners is an independent investment management firm focused on providing high value-added, active investment strategies to sophisticated clients globally. Artisan Partners’ principal offices are located in Milwaukee, San Francisco, Atlanta, New York and London.
Since 1994, the firm has been committed to attracting experienced, disciplined investment professionals to manage client assets. Artisan Partners has five autonomous investment teams that oversee twelve distinct U.S., non-U.S. and global investment strategies. Each strategy is offered through multiple investment vehicles to accommodate a broad range of client mandates.
As of March 31, 2012 Artisan Partners had approximately $66.5 billion in assets under management.
Position:
Located in London this individual will primarily support and report to the Senior Counsel Compliance Officer of Artisan Partners UK. In addition the candidate will act as a liaison with the U.S.-based compliance team of the Artisan Group.
This is a unique opportunity to join an exciting Firm at a time of growth and development. The successful candidate will be responsible for maintaining the Firm’s core compliance functions, but will also have significant input into major regulatory projects affecting the Artisan Group.
Candidates should have a track record of compliance experience ideally gained within a UK investment management firm which is also SEC registered. Candidates must have experience with handling core compliance matters and FSA record keeping requirements, as well as drafting regulatory updates and policies for an investment management firm. Ideal candidates will possess an in depth understanding of FSA rules, strong communication and advisory skills and commercial acumen.
Candidates with previous experience of Irish UCITS funds and regulatory compliance for marketing and distribution of products across the EEA and the MiFiD passporting regime will have a definite advantage.
Primary Responsibilities:
The Regulatory Lawyer / Compliance Officer is a newly created role that will report to the Senior Counsel Compliance Officer. The successful candidate will be expected to work both independently and with other Artisan staff to perform multiple functions, including:
Regulatory
- Monitoring regulatory developments: keeping abreast of new regulations and guidelines and preparing briefings for management on how these might affect the business, both for Artisan Partners UK and the Artisan Group as applicable
- Supporting the business, raising the awareness of compliance and providing guidance and advice on compliance / regulatory issues
- Reviewing and updating compliance policies of the Firm and drafting new policies to address regulatory changes
Compliance
- Maintaining regulatory records and filings in accordance with FSA rules, including personnel compliance records
- Providing technical advice on the FSA’s rules / conduct of business sourcebooks
- Performing testing of compliance policies and procedures
- Reviewing financial promotions materials
- Internal training of staff
- Assisting the Senior Counsel and members of the Artisan Group with ad hoc regulatory assignments and compliance projects
Qualifications:
- Undergraduate degree and completion of LPC / CPE (if relevant) required;
- Experience with a top tier law firm with solid regulatory background;
- 5+ years experience preferably within financial services / investment management;
- Experience with regulatory regime for FSA authorised investment manager required;
- Experience with regulatory regime for SEC registered investment manager and other European regulatory regimes an advantage;
- Strong presentation and interpersonal communications skills, both oral and written;
- Ability to develop and maintain strong relationships (internally and externally);
- Unquestionable integrity and ethical character;
- Highly organised, capable of handling / prioritising multiple on-going projects and demands;
- Ability to demonstrate resourcefulness, creativity and initiative by identifying opportunities to enhance existing processes and implementing as appropriate;
- Ability to work well under tight deadlines and pressure;
- Previous knowledge and experience of UCITS funds an advantage;
- Detail-oriented;
- Self-starter; pro active individual;
- Strong team player with flexible approach.
Contact Information:
E-mail CV to careers-uk@artisanpartners.com, or post CV to Artisan Partners UK LLP, 25 St. James’s Street, Third Floor, London SW1A 1HA