AO/Compliance Associate

Job description

Who You’ll Work With: AllianceBernstein is seeking a detail-oriented Compliance Associate to support the firm’s electronic communications surveillance, trade surveillance, legal preclearance, and related compliance control functions. The Associate will help review and resolve surveillance alerts, administer monitoring workflows, support access and population management, and partner with Legal & Compliance colleagues and business stakeholders to identify, escalate, and resolve potential compliance issues. This role requires strong judgment, careful documentation, and the ability to manage recurring control processes while responding to matters that require timely follow-up and escalation. What You’ll Do: Oversee the review of electronic communications to help ensure compliance with relevant regulations, firm policies, and internal surveillance procedures. Support electronic communications escalations, including requests for information, issue tracking, and resolution of matters assigned for follow-up. Perform second-line surveillance oversight of trading activity through systematic monitoring, alert review, and investigation of potential market conduct and trading-related risks. Review and investigate alerts designed to identify potential market abuse and trading conduct risks, including insider trading, front running, market manipulation, information leakage, conflicts of interest, and other potentially inappropriate trading activity. Escalate potential compliance concerns, suspicious trading patterns, or other matters requiring further review to Compliance management and appropriate stakeholders. Support the Legal Preclearance program by reviewing and processing transaction requests, evaluating potential regulatory, fiduciary, and conflict-of-interest risks, applying applicable trading restrictions and firm policies, and escalating complex or high-risk matters as appropriate. Assist with periodic reporting, regulatory examinations, audits, risk assessments, and special projects relating to preclearance and trading controls. Support the enhancement of surveillance processes, workflows, reporting, and technology solutions through process improvement, automation, and data-driven initiatives. Stay current on regulatory expectations, industry developments, and emerging conduct risks relating to trade surveillance, electronic and voice communications surveillance, legal preclearance, market abuse, insider trading, conflicts of interest, and other Compliance monitoring, surveillance, and control functions. What We’re Looking For: Bachelor’s degree required; degree in business, finance, accounting, economics, legal studies, information systems, or a related field preferred. Two to five years of experience in compliance, electronic communications surveillance, employee compliance, trade surveillance, financial services operations, audit, risk management, or a related control function. Working knowledge of compliance monitoring, electronic communications controls, employee compliance workflows, and escalation protocols preferred. Working knowledge of securities markets, trading practices, market conduct risks, and asset management operations. Excellent attention to detail, organization, documentation discipline, and ability to manage time-sensitive requests in a high-volume environment. Strong analytical skills, sound judgment, and the ability to evaluate facts, identify potential issues, apply review criteria, and recommend appropriate next steps. Strong written and verbal communication skills, including the ability to explain compliance requirements clearly and professionally to reviewers, employees, and business stakeholders. Demonstrated discretion and ability to handle confidential employee, client, business, and firm information appropriately. Proficiency with Microsoft Office, particularly Excel, Word, Outlook, PowerPoint, and Copilot. High ethical standards and a strong commitment to protecting client interests and supporting a culture of compliance. Ability to work independently while collaborating effectively with global colleagues, Technology, Legal, and business partners. Comfort operating in a fast-paced, deadline-driven environment with recurring control obligations and ad hoc escalation needs. Interest in process improvement, automation, metrics, data analysis, and continuous enhancement of surveillance controls. Professional maturity, curiosity, and willingness to ask questions, learn new systems and regulations, and take ownership of assigned work. 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! All 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 and practices seek to ensure that employment opportunities are available to all employees and applicants based solely on job-related criteria. Nashville, Tennessee