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Senior Compliance Analyst

2 months ago

Chicago, United States The Ladders Full time

Position Summary Ariel Investments is looking for a Senior Compliance Analyst who will report to Ariel Investments' Chief Compliance Officer (CCO) and assist the CCO in establishing, managing, and administering the compliance policies and procedures for Ariel Investments, LLC (the Adviser), Ariel Distributors, LLC (the Distributor) and Ariel Investment Trust (the Funds) (collectively, the Ariel Entities). The responsibilities include working with personnel throughout the firm, as well as the Funds' service providers, to adopt and implement written policies and procedures and to assist the CCO with the annual review of the adequacy of such procedures. The Senior Compliance Analyst assists with the development of the team's other legal and compliance professionals as well as other firm personnel in connection with their compliance responsibilities. Responsibilities Work with the CCO to lead and conduct compliance risk assessments and compliance testing in connection with the annual review of the Ariel Entities' respective compliance programs, and developing enhanced methods of monitoring compliance and creating desktop procedures pertaining to such. Managing and administering the Ariel Entities compliance training program inclusive of identifying relevant industry topics for compliance training. Managing and administering the Ariel Entities political activities compliance program; monitoring employee political contributions leveraging our StarCompliance tool Monitoring advertising, marketing and social media compliance. Monitoring trading compliance, preparing and filing Form 13H and participating in the trading oversight committee. Monitoring vendor oversight compliance and participating in the vendor oversight committee. Monitoring valuation compliance and participating in the valuation committee. Assisting the vice president, compliance in enhancing and administering the Code of Ethics (COE) compliance program via the electronic COE administration system StarCompliance; monitoring employee personal securities transactions, outside employment and business activities, gifts & entertainment, and managing quarterly and annual certifications. Assisting the vice president, compliance in preparing and filing Schedules 13G and Forms 13F. Assisting the CCO with managing the Distributor's compliance program including updating the compliance procedures, managing the continuing education program and preparing and filing Forms BD, BR, U-4 and U-5 and the annual audit. Assisting with automating compliance workflows throughout the firm. Assisting the CCO with the training and development of the team's other legal and compliance professionals and working with other managers throughout the firm in staff development pertaining to their team's compliance functions including drafting and updating compliance policies and procedures. Qualifications Bachelors degree and minimum of 5 years prior experience in the investment adviser, broker-dealer, investment company and private equity industry in a compliance capacity. FINRA Series 7 and 63 licenses preferred, or required within 120 days of hire. Extensive knowledge of investment adviser, broker-dealer and investment company operations. Working knowledge of portfolio accounting (Eagle), trading (Charles River), customer relationship management (Infor, moving to SalesForce), COE compliance management (StarCompliance), trade cost analysis and trading compliance (Abel Noser) systems; Web CRD and IARD; quickly grasps new technologies and is able to develop enhancements to processes leveraging the technologies. Needs minimal or no supervision when using and leveraging systems for compliance work and testing. Excellent communication skills and ability to communicate with all levels of personnel to ensure compliance with policies, rules and regulations. Demonstrated analytical and writing skills and attention to detail. Proficiency with Microsoft Word, Microsoft Excel (including use of tools such as v-lookup and pivot tables) and PowerPoint.

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