Financial Compliance Reporting Analyst

Posted 4 Days Ago
Be an Early Applicant
San Antonio, TX, USA
In-Office
Junior
Fintech
The Role
Maintains and audits shareholder accounts for compliance with state and federal regulations. Responsibilities include tax form production, IRS e-filing, B- and C-Notice processing, levies, escheatment, ownership reporting, returned mail, account research, and regulatory submissions. The role requires careful coordination, regulatory knowledge, client and vendor communication, prioritization, and attention to detail within mutual fund or financial services operations.
Summary Generated by Built In

Who You'll Work With:

We are seeking a San Antonio-based Financial Compliance Reporting (FCR) Analyst to join our Financial Compliance Reporting Team in Global Technology & Operations.


The Financial Compliance Reporting (FCR) team is responsible for auditing and maintaining the account population to ensure accounts are in compliance with state and federal regulations. Some responsibilities of the FCR department include tax form production, escheatment processing, statement production, confirmation production, B & C-Notice processing, foreign account monitoring, levy processing, ownership reporting, and compliance mailings.


The person in this role will have an opportunity to enhance his or her strategic thinking skills and apply these skills in practical application. The person successfully performing this role will participate in industry-level discussions and can influence current AB processes.  He or she will be a part of a team environment, where collaboration is encouraged. The person successfully performing this role will have various career path opportunities including positions with a higher degree of technical responsibility or a higher degree of management experience, including process or project management.


What You'll Do:

The Financial Compliance Reporting Analyst plays a key role for our firm, providing maintenance and examination of the shareholder account population to ensure we are in compliance with state and federal regulations. The individual is responsible for coordinating the timely processing of various regulatory requirements.

  • Execute tax form production (including Late Originals and Corrective Tax Forms) by compiling daily, weekly, monthly and annual audits, execute mock tax form production to validate output, and execute tax jobs in SS&C systems to generate and print tax forms
  • Process IRS E-Filing for tax forms by processing registration maintenance to ensure the registration is in the correct format, execute tax jobs in SS&C systems, validate the SS&C E-Filing output, and upload the E-Filing to the IRS website
  • Execute IRS B-Notices, C-Notices, IRS Levies, and State Levies
  • Notify the IRS of Fund opening/name changes and make updates to SS&C systems for AB corporate actions
  • Research and apply state escheatment regulations to AB’s account population
  • Perform shareholder outreach on identified escheatable accounts
  • Evaluate accounts for contact resolution
  • Submit escheatable assets and affiliated shareholder details to states within regulated timeframes
  • Process returned mail to maintain up-to-date shareholder records, when available
  • Support other functions within the department as business needs arise based on skill and capacity

                         

The Applications and Business or Enterprise Functions the Role Supports:

  • Tax Form Production
  • Levy Processing
  • IRS B & C Notices
  • Ownership Reports
  • Foreign Account Monitoring
  • Account-level Assessments
  • State Escheatment (Unclaimed Property)
  • Statement Production
  • Returned Mail Processing
  • Regulated Compliance Mailings

What We're Looking For:

  • 1 to 2 years mutual fund or financial services experience
  • Knowledge of general tax reporting practices or regulations preferred
  • Knowledge of governmental agency regulations related to the SEC and IRS regulatory practices a plus, but not required
  • Exceptional oral and written communication, time management, problem framing, and follow-up skills
  • Proven ability to multi-task and effectively prioritize a wide range of projects/responsibilities
  • Exhibition of organizational skills and conscientiousness; establishes priorities and follows through on tasks to completion
  • Strong attention to detail
  • Proven ability to work with internal and external clients and vendors
  • Proficient use of Microsoft office desktop package
  • Navigation of SS&C systems preferred

Special Knowledge:

  • Strong tax reporting knowledge and some abandoned property/escheatment and mutual fund operations knowledge
  • Effective task execution, both as an individual and through team collaboration
  • Demonstrated capability to learn quickly
  • Ability to work in a fast-paced environment and adapt to change
  • Ability to identify and implement process improvement and risk mitigation opportunities

Who We Are:

As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.


With over 4,400 employees across 51 locations in 25 countries, our people are our advantage. We foster a culture of intellectual curiosity and collaboration to create an environment where everyone can thrive and do their best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to clients, we’re looking for unique voices to help lead us forward. If you’re ready to challenge your limits and build your future, join us.


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

San Antonio, Texas

Skills Required

  • 1 to 2 years of mutual fund or financial services experience
  • Knowledge of general tax reporting practices or regulations
  • Knowledge of SEC and IRS regulatory practices
  • Exceptional oral and written communication skills
  • Time management, problem framing, and follow-up skills
  • Ability to multitask and prioritize responsibilities
  • Strong organizational skills and conscientiousness
  • Strong attention to detail
  • Ability to work with internal and external clients and vendors
  • Proficiency with Microsoft Office
  • Familiarity with SS&C systems
  • Tax reporting, abandoned property or escheatment, and mutual fund operations knowledge
  • Ability to learn quickly and adapt to change
  • Ability to identify and implement process improvements and risk mitigation opportunities

AllianceBernstein Compensation & Benefits Highlights

The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about AllianceBernstein and has not been reviewed or approved by AllianceBernstein.

  • Retirement Support — Retirement programs include a 401(k) with employer match and zero-fee management, plus an employee stock purchase plan and charitable contribution matching. These features form a strong pillar of the total rewards offering.
  • Leave & Time Off Breadth — Time-off offerings extend beyond standard PTO to include paid volunteer time, sabbaticals, and periodic 'refresher' vacation. These provisions support work–life balance.
  • Wellbeing & Lifestyle Benefits — Workplace perks include free lunches, free snacks, subsidized meals, and company-sponsored events alongside pretax commuter programs. Wellness resources such as fitness centers, wellness groups, and EAP access add day-to-day value.

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The Company
HQ: Nashville, NY
4,847 Employees
Year Founded: 1967

What We Do

AllianceBernstein (AB) is a leading global investment management firm that offers high-quality research and diversified investment services to institutional investors, individuals, and private wealth clients in major world markets. We are one of the largest investment management firms in the world, with more than $500 billion in assets under management. We foster a diverse, connected, collaborative culture that encourages different ways of thinking and differentiated insights. We embrace innovation to address increasingly complex investing challenges. And we pursue responsibility at all levels of the firm—from how we work and act to the solutions we design for clients.

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