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Who You'll Work With
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The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which the firm is 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.
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The Compliance team is responsible for ensuring that the global monitoring and training activities prevent, detect and mitigate regulatory and reputational risk by adapting to the ever-changing regulatory landscape. We do this by relying on our team to showcase their intellectual curiosity and innovative thinking to address risks, develop creative solutions and resolve issues. Our team is filled with collaborative individuals who believe that the sum is greater than its parts; we expect greatness from all team members. You will be successful on this team if you like a fast-paced environment, working with intelligent individuals, and sharing your depth and breadth of experience to strategize and influence solutions.
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What You'll Do
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As an attorney within the Compliance team, you will execute your responsibilities in partnership with a Director of Compliance. This is a fast-paced and dynamic environment. To execute your responsibilities, you must be comfortable managing competing priorities and executing responsibilities with impeccable attention to detail. This role has exposure to senior management of the firm and as a representative of the department, your interpersonal communication skills will help you as you collaboratively problem-solve situations to meet the expectations of demanding clients.
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Your attention to detail is necessary as you prepare committee minutes, compliance committee materials and reporting. In addition, when you review vendor contracts and non-disclosure agreements, you will need to be commercially minded and client-service focused. Your comfort in the innovative use of technology is necessary as you assist with compliance surveillance and testing tasks for emerging compliance programs (e.g. ESG Compliance and Alternatives business). You must have the ability to work collaboratively with in-house counsel and serve as the liaison between outside counsel and business leaders on regulatory and trademark-related matters. Because this role addresses emerging regulations, you must be comfortable and confident to develop solutions to ensure adherence to these regulations.
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What We're Looking For
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Bachelor’s degree (or equivalent)
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Juris Doctor from accredited law school, with 5+ years of in-house or law firm experience
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Experience with investment management or financial services law and/or regulations.
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Experience interacting with regulators.
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Experience with intellectual property law (with emphasis on trademarks).
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General familiarity with ERISA law and the qualified professional asset manager (“QPAM”) exemption.
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Who We Are
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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.
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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!
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<i> 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.</i>
</div> Nashville, Tennessee
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