Associate, Compliance

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.
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.
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 Program

Is 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, based in 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.
Aristotle Capital Management, LLC, Aristotle Credit Partners, LLC, Aristotle Capital Boston, LLC, Aristotle Atlantic Partners, LLC, Aristotle Pacific Capital, LLC, and Aristotle Investment Services, 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.
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