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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 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.
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What You'll Do:
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As VP, Director of Compliance and Counsel for the Legal and Compliance Department, you will support the firm’s asset management compliance group and provide regulatory guidance to various business units and senior leaders within the firm. Specifically, this position will focus on providing regulatory compliance advice and related legal advice to AllianceBernstein’s compliance staff, investment personnel, trading desks, marketing groups and operations teams. The position will also assist with the firm’s response to regulatory inquiries, pre-litigation matters, compliance guidance and training efforts, and development of compliance policies and procedures.
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In this role, you should be able to:
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Perform legal and regulatory research on a variety of emerging areas of law (e.g., privacy, big data, cryptocurrency, ETFs, etc.);
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Provide legal and compliance guidance and support for the investment teams (e.g., research services, corporate actions, class actions, alternative data, expert networks, insider trading, and proxy voting);
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Review and negotiate contracts related to private securities transactions, distressed issuer workouts, mergers and acquisitions, and a variety of service providers;
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Review and edit/update (as needed) compliance policies and procedures supporting investment personnel (e.g., insider trading, proxy voting, expert networks, alternative data, etc.);
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Support the continued development of a public and private alternatives compliance program;
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Draft memoranda, minutes, regulatory guidance, executive summaries, policies and procedures and training materials;
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Draft correspondence and produce documents related to document requests, regulatory inquiries, notices and other legal documents;
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Work collaboratively with in-house counsel and serve as the liaison between outside counsel and business leaders on litigation, regulatory and other compliance-related matters;
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Showcase your critical thinking skills and intellectual curiosity by assisting with various department projects, the implementation of emerging regulations, and providing regular compliance advice on emerging topics;
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Apply your strong interpersonal skills and professional demeanor in your interactions with regulators and with your extensive daily interaction with colleagues and business leaders at AB;
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Enjoy a fast-paced day managing competing priorities from multiple internal and external sources; and
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Demonstrate agility in handling a variety of other matters as they arise.
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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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Litigation experience a plus
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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!
</div> Nashville, Tennessee
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