AllianceBernstein

  • Compliance Associate

    Location : Location US-TN-Nashville
    ID
    2019-6785
    Category
    Legal and Compliance
    Position Type
    Full-Time
  • Company Overview

     

    AllianceBernstein (AB) is a global investment-management firm providing industry-leading research and investment solutions through a combination of innovation, intellectual curiosity and relentless ingenuity. We offer high-quality research and diversified investment services to institutional and individual investors worldwide. Our clients include some of the world's top institutions as well as private-wealth clients and retail investors. Through close partnerships with our clients, we collaborate on investment strategies across regions and sectors to inspire innovative thinking and deliver superior outcomes.

     

    We invest in our people and in the communities in which we operate, and we celebrate our diversity to showcase what makes us unique. We offer our talent the opportunity to grow professionally while working on cutting-edge ideas and outcomes in a global culture that operates as a tight-knit community.

     

    If you're ready to innovate and grow your career, join us.

     

    AllianceBernstein is an equal opportunity employer.  We do not discriminate based race, color, creed, national origin, sex, age, disability, marital status, sexual orientation or citizenship status.

    Responsibilities

    The AB Compliance Associate reports into a Director of Compliance for AB.

     

    • Maintaining databases of information related to a number of Compliance Functions, including:
    • Policies and procedures
    • Training
    • Outside business activities
    • Funds, including private funds and investors
    • State lobbying activities
    • Restricted and watch lists
    • Creating new databases as circumstances warrant
    • Assisting in registration matters for the various investment adviser and broker dealer entities
    • Assisting with the preparation and submission of various regulatory filings
    • Performing maintenance and other administrative functions for various Compliance systems, including email archiving and surveillance tools, the AML and Asset Management surveillance application, our in-house compliance task management application; MS SharePoint sites, etc. The Compliance
    • Associate will also assist in the testing of upgrades to these applications.
    • Coordination of the annual compliance review of AB in accordance with SEC Rule 206(4)-7.
    • Coordination of document production for regulatory examinations

    Qualifications

     

    • Strong PC skills.
    • Experience with MS Word and Excel (including creating spreadsheets) is a must.
    • Experience with MS PowerPoint and SharePoint, FINRA’s CRD/IARD and SEC’s EDGAR systems is preferable
    • General experience with vendor applications a plus
    • Bachelor’s degree
    • Finance-related area a plus but not required.
    • Exposure to financial industry a plus

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