AllianceBernstein

Who You'll Work With:

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.

What You'll Do:

The Fund Compliance Team is responsible for compliance oversight in the following areas: AB’s 1940 Act Mutual Funds and ETFs, AB’s Luxembourg Registered Funds (“UCITS”), Sub-Advised 1940 Act Funds where AB is the Sub-Adviser, and AB’s Business Development Corp (“BDC”). In addition to monitoring and training activities, we are responsible for providing reporting to the Fund Board of Directors and external Advisers. Finally, we take great pride in being a value-add resource to internal clients, most notably Portfolio Management and the Request for Information and Request for Proposal teams.

• Review/approve and periodically complete monthly, quarterly, and annual compliance reports for our Sub-Advised 1940 Act Funds
• Work closely with fund compliance and SBU’s across the firm on client compliance matters, escalating as necessary to senior members of the Legal and Compliance department
• Conduct research related to client inquiries and potential compliance matters
• Draft and review client communications on a wide range of topics from firm pertinent information to identifying nuances of 1940 Act Fund regulation and how it applies to Subadvisory relationships.
• Review client regulatory disclosures and provide necessary updates as it relates to AB’s role as the subadvisor
• Provide support to broader compliance team by cross partnering on team projects, such as the Adviser’s annual report under Rule 38a-1 of the Investment Company Act

What We're Looking For:

You will support the existing compliance oversight of our asset management activities associated with sub-advised 1940 act funds. Your day-to-day role will cover a diverse range of activities such as:

• An attention to detail with the ability to recognize nuances in communications
• An aptitude for assessing risk and applying critical thinking skills to determine best course of action
• Strong communication skills with an emphasis on clear and concise business writing
• A self-starter with the ability to work well both autonomously and in a collaborative team environment
• 3-5 years compliance experience preferrable
• 1-3 years of experience handling portfolio compliance matters on co-mingled investment vehicles preferred
• Four-year college degree (advanced degree is a plus)
• Proficiency with MS Office, especially Excel

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.

Nashville, Tennessee