AO/Compliance Associate

Who We Are:

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 Background:

The Compliance Department covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives.

About the Department

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.

About the Team

The Compliance Department covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives.

What you'll do:

As the Senior Compliance Associate Officer, you will report to a Director of Compliance. This is a fast-paced and dynamic environment. To execute your responsibilities, you are comfortable managing competing priorities and providing thoughtful, well-reasoned guidance to nuanced circumstances so that we meet regulatory requirements and our fiduciary responsibility to our clients. Your exceptional, clear, and concise interpersonal communication skills will help you as you collaboratively problem-solve situations to meet the expectations of demanding clients. You will utilize your intellectual curiosity as you keep abreast of regulatory requirements and changes that impact the areas of compliance included in your responsibilities. We expect that you will execute your responsibilities efficiently and effectively.

We will invest in your development, and give you opportunities to gain visibility, responsibility, and advancement across the firm.

Your responsibilities may include, but not be limited to:

• Maintain databases of information related to multiple Compliance Functions, including: 

• Code of Ethics
• Personal Trading

• Gifts & Entertainment
• State lobbying activities 
• Political Contributions

• Create new databases as circumstances warrant.
• Perform administrative functions in StarCompliance, including linking/delinking new accounts, activating new employees and/or consultants, adding transactions as needed, adjusting holdings, etc.

• Support the department’s efforts to innovate and modernize by actively participating in and taking a lead role in multiple key projects across various functional areas, including: 

• StarCompliance, Ethics Monitoring Applications, Private Securities Transactions, Political Contributions
• Support the creation of a risk control framework for testing compliance controls as to design and operating effectiveness.
• Chatbot project related to FAQs for Code of Ethics 

• Assist with evaluation of ServiceNow, Automation Anywhere, and Power BI 

• Demonstrate agility in managing a variety of other matters as they arise.

What we're looking for:

• Bachelor’s degree 

• Finance-related area a plus but not required. 

• Strong PC skills

• Experience with MS Word and Excel is a must. 

Preferred Qualifications

• General experience with vendor applications and managing vendor deliverables a plus. 
• Exposure to the financial industry.
• Excellent analytical and critical thinking skills, with a keen eye for detail.
• Effective communication and coordination skills, with the ability to collaborate effectively with international teams.
• Ability to manage multiple tasks and projects simultaneously, with a focus on accuracy and timeliness.
• Proficiency in MS SharePoint and other relevant software applications.
• Attention to detail and strong organizational skills.
• Ability to work independently and as part of a team.
• Strong ethical standards and integrity.
• Proactive approach to identifying and mitigating compliance risks.
• Excellent written and verbal communication skills.
• 3+ years of compliance experience

Who we are: 

We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over 4,000 employees across 57 locations operating in 26 countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work. 

Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we are fully invested in you. If you're ready to challenge your limits and empower your career, join us! 

People of color, women, and those who identify as LGBTQ people are encouraged to apply. AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law. AB’s policies, as well as practices, seek to ensure that employment opportunities are available to all employees and applicants, based solely on job-related criteria

well as practices, seek to ensure that employment opportunities are available to all employees and applicants, based solely on job-related criteria.

Nashville, Tennessee