AllianceBernstein

  • Mutual Fund Compliance Analyst

    Location : Location US-TN-Nashville
    ID
    2019-6869
    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, detect, address 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.

    TEAM DESCRIPTION

    The Mutual Fund Compliance Team is responsible for compliance oversight in the following areas: AB’s 1940 Act Mutual Funds, AB’s Luxembourg Registered Funds (“UCITS”), Sub-Advised 1940 Act Funds where AB is the Sub-Adviser, and AB’s Business Development Corp (“BDC”). In addition to monitoring and training activities, we are responsible for providing reporting to the Fund Board of Directors and external Advisers. Finally, we take great pride in being a value-add resource to internal clients, most notably Portfolio Management and the Request for Information and Request for Proposal teams.

    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.

    Responsibilities

    ROLE DESCRIPTION

    You will support the existing compliance oversight of our asset management activities associated with mutual funds.

     

    You will showcase your attention to detail and the ability to manage multiple tasks, projects and deadlines by preparing monthly, quarterly, and annual compliance reports for our Sub-Advisory clients. You will utilize your critical thinking skills as you review daily and weekly compliance matters associated with 1940 Act Funds and UCITS to determine how best to address those matters.

     

    Your desire to be contributing, collaborative team member will be addressed when you contribute to the Adviser’s annual report under Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Adviser’s Act. Your ability to synthesize information clearly and concisely to present to senior management will be demonstrated when you produce periodic compliance reporting to the 1940 Act Mutual Fund Board of Directors and Luxembourg Funds Board of Directors

    Qualifications

    MINIMUM QUALIFICATIONS

    • 1-3 years of experience handling compliance matters under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
    • Four-year college degree (advanced degree is a plus)
    • Proficiency with MS Office, especially Excel

     

    Preferred Qualification

    • Experience with compliance matters related to Sub-advisory Compliance and/or UCITS Regulatory Compliance

     

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