Vice President Assistant Director of Compliance
| Company | AllianceBernstein |
|---|---|
| Location | Nashville, TN, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- 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.
Responsibilities
- 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
- Developing and implementing 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
- Conducting regular audits and assessments to ensure compliance with securities laws and internal policies
- Overseeing compliance with regulations related to research activities, including managing conflicts of interest and the dissemination of research reports
- Ensuring compliance with regulations governing the use of soft dollars
- Providing strategic compliance advice and support to business units
- Developing and implementing compliance training programs
- Monitoring regulatory developments and assessing their impact on the firm’s compliance program
- Mentoring a team of compliance professionals
- Preparing and presenting compliance reports to senior management and participating in regulatory inquiries.
Preferred Qualifications
- 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.
- Conducting global monitoring and training activities that detect, address, and mitigate regulatory and reputational risk.
- Providing thoughtful and timely advice to business units to support the firm’s business strategy and objectives while maintaining a high standard for integrity.