Vice President Assistant Director of Compliance Position Available In Davidson, Tennessee

Who We Are 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. We are seeking a seasoned compliance professional to lead our Investment Adviser Compliance Team as Vice President.

Key Responsibilities:

As the Vice President Assistant Director of Compliance, you will be responsible for overseeing the Advisory Compliance, operations of the control room to ensure effective management of information barriers and compliance with regulatory requirements. Supervising the maintenance of watch lists, restricted lists, and other compliance-related lists, and ensuring effective coordination between the control room and other departments to manage the flow of sensitive information. You will develop and implement policies and procedures for the identification, handling, and protection of Material Non-Public Information (MNPI), providing guidance and training to employees on the management of MNPI and related compliance issues. Regular audits and assessments will be conducted to ensure compliance with securities laws and internal policies. In addition, you will oversee compliance with regulations related to research activities, including managing conflicts of interest and the dissemination of research reports. Collaboration with research teams will be essential to ensure adherence to compliance policies and best practices. Ensure compliance with regulations governing the use of soft dollars, including the review and approval of mixed-use allocations, ensure they align with regulatory requirements and internal policies. Your role will involve providing strategic compliance advice and support to business units, ensuring alignment with regulatory requirements and industry best practices. You will develop and implement compliance training programs to enhance awareness and understanding of compliance obligations across the organization, while monitoring regulatory developments and assessing their impact on the firm’s compliance program. As a leader, you will mentor a team of compliance professionals, fostering a culture of compliance and ethical conduct. Collaboration with senior management and other stakeholders will be crucial to promote a strong compliance culture and address compliance-related issues. Additionally, you will prepare and present compliance reports to senior management and participate in regulatory inquiries.

Minimum Qualifications:

Bachelor’s degree (or equivalent) 5+ years of experience in compliance within the financial services industry, with a focus on Control Room operations, Material Non-Public Information, Research and Soft Dollars, Strong knowledge and understanding of the financial services industry Proven leadership and management skills, with experience leading a team of compliance professionals Strong analytical, problem-solving, and decision-making abilities. Excellent communication and interpersonal skills, with the ability to influence and collaborate with stakeholders at all levels. Proficiency in compliance monitoring tools and software.

What we also desire:

The Legal and Compliance Department is responsible for ensuring compliance with all 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. Nashville, Tennessee 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 51 locations operating in 25 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! 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. Please be advised that AB does not solicit confidential information from job applicants during the screening process, nor extend job offers without the candidate participating in a series of interviews to be properly considered for an open role. If you receive requests for confidential information, outside of the formal interviewing process even if the person asserts that they represent AB, we encourage you not to reply.