Compliance Associate - AllianceBernstein
Overview
AllianceBernstein seeks a detail-oriented Compliance Associate to lead electronic communications surveillance trade surveillance and legal preclearance control functions. The role involves reviewing alerts managing escalations and supporting trading activities while collaborating with Legal and Compliance teams. Candidates must demonstrate strong judgment documentation skills and ability to handle high-volume time-sensitive tasks.
What You'll Do11
- 1Oversee electronic communications review to ensure regulatory and policy compliance
- 2Support escalations handling requests for information and issue tracking
- 3Perform systematic monitoring of trading activity and investigate market conduct risks
- 4Review alerts identifying insider trading front running and manipulation
- 5Escalate compliance concerns to management and stakeholders
- 6Support Legal Preclearance by assessing transaction risks and applying trading restrictions
- 7Assist with periodic reporting audits and risk assessments
- 8Enhance surveillance processes through workflow automation and data-driven initiatives
- 9Stay current on regulatory changes and emerging conduct risks in trading
- 10Maintain confidentiality while documenting detailed compliance activities
- 11Collaborate globally to improve compliance monitoring and control systems
Requirements11
- 1Bachelor's degree in business finance accounting economics legal studies information systems or related field
- 2Two to five years experience in compliance electronic communications surveillance or related control functions
- 3Working knowledge of securities markets trading practices and asset management operations
- 4Proficiency with Microsoft Office including Excel Word Outlook PowerPoint and Copilot
- 5Strong analytical abilities and ability to prioritize time-sensitive requests
- 6Excellent written and verbal communication skills for explaining compliance requirements
- 7Discretion in handling sensitive employee client and firm information
- 8Commitment to ethical standards and client protection
- 9Ability to work independently while collaborating with global teams
- 10Interest in process improvement automation and continuous enhancement of controls
- 11Professional maturity and willingness to learn new systems and regulations
Salary Insight
Salary not disclosed in listing
Location
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