Investment Guideline Compliance Analyst

Who you’ll work with:

We are seeking a Nashville, TN based Client Guideline Management Analyst to join our Client Guideline Management (CGM) team, which is part of the Investment Management Operations – Portfolio Services department.  The CGM Analyst will be part of the team responsible for ensuring accurate and complete investment guideline compliance for regulatory and client-based constraints across Fixed Income, Equity, and Multi-Asset portfolios.

Group Description:

CGM is responsible for the daily management of client investment guidelines through multiple compliance systems, most notably, ION Sentinel / Latent Zero. 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.

Describe the role:

To perform various Investment Compliance tasks including interpreting guidelines, coding, and ad hoc functions. The individual will be expected to learn the various compliance platforms and to also learn the regulatory and client guideline requirements. The Analyst 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, Enfusion, Microsoft Excel, and Microsoft Office; internal applications such as ACE & Global Optimizer (GO); and use multiple vendors such as Bloomberg & MSCI. 

What you’ll do:

Responsible for supporting all Client Guideline Management activities across guideline documentation reviews, rule coding implementation, trade compliance, and portfolio compliance functions:

• 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 and implement new investment restrictions across compliance systems, ensuring coding is accurate and complete across regulatory and client-specific requirements
• Perform data integrity checks in the compliance applications and address gaps by working with Data Management and Technology to source or update information
• Produce reports, document records, maintain and archive such records and reports
• Respond quickly and accurately to inquiries regarding investment guideline compliance

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 investment guideline compliance 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.

What is the professional development value of this role, i.e. what learning and professional growth does the role offer the candidate?

The role is currently evolving as the environment changes. This role provides an opportunity to learn from some of most experienced investment professionals in the business as well as very seasoned members of the AB operations, technology, and portfolio management teams. This role will afford the opportunity for good exposure to senior members of AB management team and provide opportunities to contribute in a very meaningful way.

What We’re Looking For:

• The ideal candidate should preferably have a degree in Finance, Economics, or Accounting. (we will consider candidates with non-finance degrees)
• The candidate should have 3 plus years’ experience in the financial services industry; compliance experience is a plus
• The candidate has experience working with a team and meeting time sensitive deadlines
• The candidate should be proficient in Excel
• Experience with investment compliance tools is preferable, however additional training will be provided to support the role
• Familiarity with Fixed Income instruments is a plus
• Familiarity with investment fund regulations including 1940 Act and UCITS
• Familiarity with ESG screening data across vendors such as MSCI, ISS, or Sustainalytics
• Progress towards and/or completion of the Chartered Financial Analyst (CFA) program is a plus.
• Technical skills including SQL or MS Access is a plus.

Special Knowledge:

Our analysts typically have a track record of outstanding professional performance or academic achievement, along with excellent analytical skills, financial skills, technical skills, attention to detail, 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: City/State/Country: Nashville/Tennessee/USA

As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.

Who We Are:

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!

People of color, women, and those who identify as LGBTQ people are encouraged to apply. 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.