Alliancebernstein Holding LP Nashville , TN 37201
Location_formattedLocationLong:Nashville, Tennessee US
CGM is responsible for the daily management of client investment guidelines through multiple compliance systems, most notably, Fidessa Sentinel. We ensure that investment guideline restrictions are maintained and followed; ensuring proper notification of guideline compliance is dispersed to all relevant parties. The CGM team plays a key role in the investment process; a critical part of performing our fiduciary responsibility is properly implementing and monitoring key investment guidelines.
We are seeking a Nashville based team leader to join our Client Guideline Management team, which is part of the Investment Management Operations Portfolio Services department. They will be responsible for leading a team of individuals and performing compliance coding functions for the Client Guideline Management function.
Describe the role:
To perform various Investment Compliance tasks including interpreting guidelines, coding, and ad hoc functions. The individual will be expected to work as the team leader and will need to be able to communicate effectively with various internal and external clients.
Describe the applications and business or enterprise functions the role supports:
Client Guideline Management analysts support and/or deal with the following internal clients Portfolio Managers, Assistant Portfolio Managers, Traders, Trade Support, Legal and Compliance, Sales, and Risk. On a daily basis, the Analyst will use Sentinel, Linedata, Microsoft Excel, and Microsoft Office; internal applications such as Apex, Portfolio Management System, ACE, and Global Optimizer (GO); and use multiple vendors such Bloomberg.
The key job responsibilities include, but are not limited to:
Read, identify, and interpret investment restrictions from guidelines and various other sources used for effective account management.
Code rules into our compliance applications from client guidelines.
Test new investment restrictions in UAT and document test cases to ensure coding is accurate in Compliance systems.
Perform data integrity checks in the compliance applications and address gaps by working with Data Management and Technology to source or update information.
Develop and perform manual testing for portfolio constraints/rules that cannot be coded into the compliance systems.
Produce reports, document records, maintain and archive such records and reports.
What makes this role unique or interesting?
This role will expose the employee to many functional areas within the investment management process, including sales, portfolio management and risk; the employee will also have the opportunity to learn about the data required to support the client guidelines process, and gain an appreciation for the complexity of the instruments we invest in. The engagement with both front office/trading/portfolio management and back office/technology areas, makes this role especially interesting and challenging.
The exposure to multiple business areas including Fixed Income, Equity and Multi Asset will provide the analyst with broad exposure to the different business disciplines. The role consists of daily fixed responsibilities and duties; however, the individual will also be expected to help with many projects and ad hoc tasks.
The Team Lead will learn a lot about all of the different products that AB offers and the differences between them. They will also have a lot of contact with the front office making this a demanding and rewarding position.
Qualifications, Experience, Education:
The ideal candidate should have a degree in Finance, Economics, Accounting or another relevant discipline. The candidate should have 4 plus years' experience in the financial services industry; compliance experience is necessary.
The candidate has experience working with a team and meeting time sensitive deadlines. Experience with compliance tools is a necessity, however additional training will be provided to support the role. Familiarity with Fixed Income instruments is a plus.
Our analysts typically have track records of outstanding professional performance or academic achievement, along with excellent analytical skills, financial skills, technical skills, attentions to detail and as well as strong communication skills. Candidates should have a strong ability to work in a collaborative environment and to present results to both expert and non-expert audiences.
Location: Nashville / Tennessee / United States
Community / Marketing Title:AVP/Coding Team Leader
AB is a leading global investment-management and research firm with more than $500 billion in assets under management and a presence in 22 countries, with more than 3,400 employees worldwide. We serve clients ranging from institutions to individuals and private clients, and we offer independent research, portfolio strategy and brokerage-related services tailored to our clients' unique needs.
With forward-looking perspective and expertise in equities, fixed-income, alternatives and multi-asset strategies, more than 500 investment professionals collaborate to share ideas and make connections across disciplines, geographies, asset classes and sectors. These collective insights drive innovation and better solutions, helping us keep our clients AHEAD OF TOMORROW.
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