• Compliance Team Leader

    Location : Location US-TX-San Antonio
    Operations & Technology
    Position Type
  • Company Overview

    The Legal and Compliance Department is responsible for 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.


    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.


    We are seeking a San Antonio based Private Wealth Compliance – Team Leader to join our Global Operational Risk Management Department.


    As the new Private Wealth Compliance – Team Leader, you will provide support to the Private Wealth business, as needed, and work as a team with the other professionals in the group. You will supervise 2 Compliance Analysts and assist in managing the processes within the group. The Compliance Team is essential to Private Wealth business to ensure compliance with applicable Anti-Money Laundering laws and protecting the firm from regulatory and operational risks. In addition, the Compliance Teams enforcement and procedurally-focused reviews help to maintain the compliance with internal account type and product requirements, detect and mitigate risk, while maintaining the high standard for integrity.


    As the Private Wealth Compliance Associate – Team Leader within the Legal and Compliance group, you should be detail-oriented, and have the ability to solve problems, prioritize tasks, and work well under pressure. As a Private Wealth Compliance Associate – Team Leader, you will:

    • Perform the legal and compliance work related to the new account opening process for Bernstein Private
      Wealth Management clients including reviewing and analyzing all new private client discretionary and
      alternative investment accounts
    • Utilize your critical thinking skills as you read and analyze complex client documents, including trusts and
      pension plans, and respond back to questions about these documents accordingly
    • Protect the firm’s reputational risk by ensuring compliance with all regulatory and firm requirements, including
      conducting AML due diligence for non-US clients
    • Uphold the firm’s fiduciary responsibility by verifying product and client suitability and providing guidance to
      financial advisors and associates
    • Reinforce the firm’s reputation for exceptional client service by preparing customized offering materials
    • Employ your written communication skills by drafting client communications
    • Contribute to the talent development of the firm by coordinating with business liaisons to create training
      courses and FAQs for our salesforce
    • Showcase your relentless ingenuity by updating and implementing new processes both in legal and sales
    • Contribute towards the team orientation of the department by being willing to assist with other projects and
      tasks, as needed
    • Manage the relationship between Legal and Compliance, the San Antonio Operations Team and the Private
      Client Business
    • Support the San Antonio Team by answering any questions that may arise and manage the day to
      day processes of the team

    Knowledge and experience of AML, Fraud Prevention, and compliance monitoring is preferred.

    Location: San Antonio, TX


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