Vice President - Head of Investment Guideline Compliance

Who You’ll Work With:

We are seeking an experienced Vice President to serve as the Department Head for our Investment Guideline Compliance team based in Nashville. In this pivotal role within our Investment Management Operations, the successful candidate will not only lead a team of talented individuals but also play a crucial role in overseeing and executing compliance coding functions for the Investment Guideline Compliance function. As the VP of Investment Guideline Compliance, you will be entrusted with a wide array of responsibilities that go beyond traditional leadership duties. You will be at the forefront of driving strategic initiatives, ensuring regulatory adherence, and fostering a culture of excellence within the team. This role offers a unique opportunity for professional growth, allowing the incumbent to deepen their expertise and gain a comprehensive understanding of the organization's broader operations. The ideal candidate will possess a proven track record in investment compliance, strong leadership capabilities, and a strategic mindset to navigate the complexities of the financial industry.

What You’ll Do:

The Vice President of Investment Guideline Compliance will be responsible for overseeing a diverse range of critical tasks, encompassing the interpretation of guidelines, intricate coding processes, and handling ad hoc functions with precision and expertise. As the team manager, the incumbent will play a pivotal role in guiding and supervising a team of professionals, ensuring seamless collaboration and optimal performance. Effective communication is paramount in this role, as the VP will be required to engage with a wide spectrum of internal and external stakeholders, including clients, data and technology teams, regulatory compliance stakeholders, and senior management. The ability to articulate complex concepts clearly and concisely will be essential in fostering strong relationships and driving successful outcomes. The ideal candidate will possess a comprehensive understanding of investment compliance principles, a keen eye for detail, and exceptional interpersonal skills. By assuming this leadership position, the VP will have the opportunity to showcase their strategic acumen, elevate team performance, and contribute significantly to the organization's overall success.

Applications and business or enterprise functions the role supports

Investment Guideline Compliance analysts support and/or deal with the following internal clients:

• Portfolio Managers & Associate Portfolio Managers
• Data & Technology
• Legal, Compliance, & Risk
• Sales

On a daily basis, the Team Lead will use the following vendor compliance applications:

• ION LatentZero Compliance (Sentinel)
• Linedata
• Enfusion

Additionally, they will use the following applications:

• Microsoft Excel, Microsoft Office, Microsoft PowerBI, Microsoft SharePoint, and Oracle SQL Developer; internal applications such as CADIS, Portfolio Management System, ACE, and Global Optimizer (GO); and use multiple vendors such Bloomberg. 

Key job responsibilities include, but are not limited to

• Lead a team in interpreting investment restrictions from guidelines and various sources for effective account management.
• Oversee the accurate coding of rules into compliance applications from client guidelines.
• Lead global compliance standards discussions with stakeholders encompassing Regulatory Compliance, Portfolio Management, and Investment Risk.
• Manage the testing of new investment restrictions in UAT, documenting test cases to ensure coding accuracy in Compliance systems.
• Conduct data integrity checks in compliance applications, collaborating with Data Management and Technology teams to address gaps in information.
• Develop and implement manual testing procedures for portfolio constraints/rules that cannot be coded into compliance systems.
• Generate reports, maintain records, and archive documentation to uphold regulatory standards and facilitate audit processes.

What We’re Looking For:

Candidates should have several years of experience in investment compliance, risk management, or a related field. Strong analytical skills, attention to detail, and proficiency in coding and compliance applications are essential. Excellent communication, problem-solving, and leadership abilities are also important for this role.

This role requires strong analytical skills, proficiency in coding and compliance applications, attention to detail, knowledge of regulatory requirements, the ability to develop and implement testing procedures, strategic thinking, leadership skills, and excellent communication and collaboration abilities.

About AB 

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! 

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.