Vice President/ Assistant Director of Compliance

Who You'll Work With:

The Compliance Department covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives.

What You'll Do

As the Vice President Assistant Director of Compliance, you will be responsible for 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, and ensuring effective coordination between the control room and other departments to manage the flow of sensitive information.

• You will develop and implement 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.

• Regular audits and assessments will be conducted to ensure compliance with securities laws and internal policies.

• In addition, you will oversee compliance with regulations related to research activities, including managing conflicts of interest and the dissemination of research reports.

• Collaboration with research teams will be essential to ensure adherence to compliance policies and best practices.

• Ensure compliance with regulations governing the use of soft dollars, including the review and approval of mixed-use allocations, ensure they align with regulatory requirements and internal policies.

• Your role will involve providing strategic compliance advice and support to business units, ensuring alignment with regulatory requirements and industry best practices.

• You will develop and implement compliance training programs to enhance awareness and understanding of compliance obligations across the organization, while monitoring regulatory developments and assessing their impact on the firm's compliance program.

• As a leader, you will mentor a team of compliance professionals, fostering a culture of compliance and ethical conduct.

• Collaboration with senior management and other stakeholders will be crucial to promote a strong compliance culture and address compliance-related issues. Additionally, you will prepare and present compliance reports to senior management and participate in regulatory inquiries.

What We're Looking For:

Minimum Qualifications:

• 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.

Who We Are

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!