Teams at AllianceBernstein

Provides legal counsel to the Private Wealth Management business on investment adviser and broker-dealer activities, product development, client and vendor agreements, account operations, regulatory compliance, complaints, policies, and strategic initiatives. The role drafts and negotiates contracts, reviews client documentation and communications, advises business and operations teams, and partners with compliance on SEC, FINRA, and state regulatory obligations.

Supports institutional client coverage and offshore investment product sales for Taiwan clients. Responsibilities include preparing presentations, pitchbooks, and RFP responses; coordinating with investment, product, legal, compliance, and operations teams; responding to client requests; participating in meetings and portfolio reviews; tracking sales pipelines; and monitoring market and competitor developments.

Business Analyst/Product Owner responsible for AML, trade surveillance, compliance task management, and employee trade compliance technologies. Duties include gathering requirements, defining solutions, managing product and project lifecycles, coordinating global teams, overseeing vendors, improving workflows, tracking risks and deliveries, supporting users, and maintaining system operations. The role requires financial services compliance technology expertise, AML experience, stakeholder management, and strong SQL and business analysis skills.