AllianceBernstein

  • Senior Legal Assistant

    Location : Location US-TN-Nashville
    ID
    2019-6829
    Category
    Legal and Compliance
    Position Type
    Full-Time
  • Company Overview

    DEPARTMENT PROFILE

    The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm’s culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that prevent, detect and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm’s business strategy and objectives while maintaining a high standard for integrity.

     

    COMPANY DESCRIPTION

    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.

     

    Bernstein Private Wealth Management (“Wealth Management”), the private client arm of AB, traces its roots in money management back over 50 years. Driven by an industry-leading and highly respected research effort, Wealth Management provides long-term investment solutions for its clients and has built a strong performance record over its history. Wealth Management has approximately $100 billion in assets under management, invested in global stocks, fixed income, real estate investment trusts, commodities, and hedge funds and other pooled investment vehicles. Wealth Management has approximately 200 U.S.-based Financial Advisors who are responsible for private client business development and servicing.

    Responsibilities

    AB is looking for a Senior Legal Assistant to support Wealth Management. Specifically, this position will focus on:

    • Providing administrative support to the attorney team who provides legal and regulatory advice to Wealth Management’s senior management and staff, financial advisors and associates, including scheduling, direction of inquiries to the appropriate team member, fielding of administrative questions, preparing execution copies of legal documents and responding to inquiries.
    • Maintaining a team calendar, planning and coordinate meetings and off-site travel, assist with preparation of annual training materials and scheduling of training presentations.
    • Coordinating responses to regulatory inquiries and FINRA quarterly complaint filings, and addressing ongoing FINRA, SEC and other agency requests related to sales staff.
    • Addressing requests for letters and confirmations related to FINRA Rule 3210.
    • Working with margin department and the sales teams on pledging accounts, including preparation of account control documentation, pledge releases and modifications, and communication with internal teams to freeze accounts and track and monitor pledged account cash flow matters.
    • Assisting with the update, maintenance and ongoing review of account documents, including implementing revisions based on regulatory or business changes.
    • Assisting with the implementation of new regulatory initiatives, compliance-training efforts, and the development of compliance policies and procedures.

    Qualifications

    Our ideal candidate will have three or more years of experience, either in-house in a legal department or at a law firm, with knowledge of and experience working closely with attorneys in a legal practice, ideally related to wealth management and planning. Knowledge of the rules applicable to investment advisers and/or broker-dealers is helpful but not required. The ideal candidate will be intellectually curious about U.S. and global financial products and services and willing to learn new areas of the law and compliance as they relate to these rapidly evolving businesses. Attorneys are spread across various offices, so technological know-how and strong communication skills are a plus. Organization, maturity, pragmatism, good judgment and dependability, a strong and proactive work ethic, and an ability to inspire confidence are keys to success in this position. Candidate must also enjoy working collaboratively (i.e., with attorneys, advisors, associates, operations persons, compliance professionals, etc.) to support the legal team as it solves complex issues in a commercial manner on tight timeframes.

     

    Location: Nashville, TN

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