Senior Associate, Compliance

Aristotle is a majority employee-owned investment management organization with offices in Los Angeles, Newport Beach, Boston, and Sarasota. We specialize in equity and fixed income portfolio management for institutional and advisory clients around the world. Our mission is to help clients achieve their long-term financial goals through active portfolio management and a research-driven investment framework.

About the role

This individual will support the firm's registered investment adviser compliance program, including marketing review, regulatory filings, policies and procedures, compliance monitoring, client and regulatory reporting, and other compliance initiatives in adherence to the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules and regulations, and other applicable regulatory requirements.

Responsibilities

• Participate in compliance review of firm marketing and advertising materials to comply with SEC rules and regulations, including the SEC Marketing Rule
• Collaborate with marketing and client relationship personnel on workflow improvements and address specific business needs
• Lead reviews of Code of Ethics disclosures and reporting by employees to ensure completeness and accuracy
• Recognize opportunities to enhance and improve existing policies and procedures
• Assist with the development of new policies to address regulatory requirements and evolving business needs
• Respond to due diligence questionnaires and compliance reporting requests
• Assist with the preparation of regulatory filings
• Stay current with recent compliance, regulatory, and legal issues, trends, and upcoming developments in the asset management industry
• Assist in translating regulatory developments into practical guidance and policy updates
• Serve as a compliance point of contact to address a broad range of internal and external inquiries
• Conduct periodic vendor due diligence reviews and related oversight activities
• Support compliance monitoring, testing, and annual review activities under Rule 206(4)-7
• Provide back-up support to other Compliance team members as needed
• Participate in Compliance Department initiatives and ad-hoc projects

Requirements

• Bachelor’s degree from an accredited college or university
• 3-5 years of financial industry experience, preferably with an asset manager or similar financial services institution
• Excellent working knowledge and understanding of the asset management industry
• Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934
• Working knowledge of the SEC Marketing Rule
• Strong analytical and problem-solving skills to identify and address compliance issues effectively
• Exceptional attention to detail with a strong focus on accuracy and compliance
• High level of integrity and strong work ethic
• Good judgement and ability to make timely and sound decisions
• Excellent verbal and written communication skills, including the ability to interact effectively with personnel at varying levels at the firm
• Ability to work independently, set priorities, and manage multiple deadlines
• Advanced knowledge of common business applications (e.g., Microsoft Office Suite Products) and ability to appropriately leverage AI tools
• Charles River and Star Compliance (or similar) program and software experience a plus

Benefits

• Comprehensive health, dental, and vision insurance for you and your dependents
• 401(k) with employer matching
• Paid time off, including an annual Employee Volunteer Day
• Life, Critical Illness, Disability, and Accidental Injury Insurance
• Employee Assistance Program
• Inclusive and supportive workplace culture
• Company events and employee discount programs

Pay

Compensation range: $90,000.00 - $110,000.00 plus discretionary bonus. 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.

Schedule

Hybrid – Los Angeles, CA