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We are seeking a Regulatory Reporting Analyst to join our Pricing Department in the Institutional Investment Management Operations Team located in San Antonio, TX.
AllianceBernstein (AB) is a global investment-management firm providing industry-leading research and investment solutions through a combination of innovation, intellectual curiosity and relentless ingenuity. We offer high-quality research and diversified investment services to institutional and individual investors worldwide. Our clients include some of the world's top institutions as well as private-wealth clients and retail investors. Through close partnerships with our clients, we collaborate on investment strategies across regions and sectors to inspire innovative thinking and deliver superior outcomes.
We invest in our people and in the communities in which we operate, and we celebrate our diversity to showcase what makes us unique. We offer our talent the opportunity to grow professionally while working on cutting-edge ideas and outcomes in a global culture that operates as a tight-knit community.
If you're ready to innovate and grow your career, join us.
AllianceBernstein is an equal opportunity employer. We do not discriminate based race, color, creed, national origin, sex, age, disability, marital status, sexual orientation or citizenship status.
OPS Group Description: The Pricing group supports the entire firm focusing on interactions with the Global Fund Accounting area, Client Reporting and Performance, Portfolio Management, and Legal and Compliance. Pricing is responsible for timely and accurate valuations of all assets held in client accounts. The team is responsible for the quality control and distribution of data throughout the firm.
This role primarily focuses in supporting the compliance and regulatory reporting for Beneficial Ownership. The concept of "beneficial ownership" is far broader than economic ownership because a person is deemed to "beneficially" own any security with respect to which he/she has power to vote or dispose of, regardless of whether he/she has any economic interest in the security. This concept is a driver of shareholding disclosure reporting globally.
The role will assist with other reporting responsibilities such as, Federal reporting (TFC-1, TFC-2, TIC S, TIC D, TIC SLT, SHC, SHCA, SHLA, SHL), ASC 820-10 (formally FASB 157) leveling, as well as the new Regulatory Requirement (SEC Rule 22e-4) for liquidity.
Describe the role: This role involves rigorous review of security reference data, which includes the security, issuer, exchange and industry domains. At the same time, the employee must be able to review the various Compliance alerts and issues tied to these underlying data elements. There are both daily tasks, which involve data and alert reviews as well as IT projects with global Compliance Analysts and AXA counterparts where one must be able to communicate clearly and confidently to drive solutions. This role also includes work on department wide projects and initiatives.
Describe the applications and business or enterprise functions the role supports: The analyst supports most core functions at AB including Legal and Compliance, Global Fund Accounting, Financial Reporting, Risk Reporting and Portfolio Management. The data distributed by this team effects Mutual Fund NAV's, regulatory reporting, financial reporting, and risk reporting. This role acts as liaison between operations, Compliance, AXA, IT and external vendors.
Learn Regulatory Reporting application, "RRS", and ensure that daily alerts are actioned appropriately. Liaise with Compliance teams in the US, UK, and Asia as necessary to review potential regulatory shareholding disclosure filings.
Research and perform the following within the "RRS" system workflow o Review of daily global filings and reconciliation to AB holdings data as needed o Review of quarterly U.S. 13F and monthly/annual 13G filings o Complete disclosures as needed and submit to relevant parties, including electronic submissions to Edgar for US filings
Manage and prioritize the preparation of regulatory reports including 13F, 13G, 13H, Federal Reserve (TFC-1, TFC-2, TIC S, TIC D, TIC SLT, SHC, SHCA, SHLA, SHL), Short Reporting
Assist with completion of additional reporting on leveling (ASC 820-10) and liquidity reporting (SEC Rule 22e-4)
Oversee client and vendor relationship management
As the department's responsibilities grow, lead in the development and onboarding of new regulatory responsibilities as needed.
Manage and support system enhancements, including participating in User Acceptance Testing and implementation to production
Participate in various projects related to RDMS, Regulatory Reporting and Pricing as needed.
Create and maintain departmental policies and procedures are current
Assist RDMS management on department initiatives and other projects.
What makes this role unique or interesting? This role continues to grow and will give the applicant an opportunity to learn about regulatory guidelines and reporting. The analyst will partner with Compliance, AXA and IT/Developers to solve problems, work through issues and technical solutions together. There is regular interaction with senior members of AB as well as the AB Legal and Compliance and AB Valuation Committee. AB manages most current asset types (Stocks, Bonds, Asset Backed, all types of Over-the-Counter Derivatives) and the analyst will be exposed to these asset types as well.
What is the professional development value of this role? This role enables the employee to dive into the reference data aspect of the securities industry while at the same time connecting it to global regulatory rules, as well as gaining exposure to pricing and valuations. The regulatory and client service environment is continually changing, and this role is at the forefront of these changes. The role provides an opportunity to learn from some of the most experienced investment professionals in the business as well as very seasoned members of the AB compliance, legal, and pricing teams. This role will have significant exposure to senior members of AB management team and provide opportunities to contribute in a very meaningful way.
4-year undergraduate degree preferably in a business-related discipline, such as Finance, Accounting, Economics, Math
A strong interest in the financial markets is essential
2+ years of work experience in financial industry/services, preferably experience in Regulatory Reporting, Financial Accounting, Data Management, Pricing, Corporate Actions etc.
Knowledge of industry regulations and guidelines
Knowledge of multiple asset classes and how they can be used in portfolios
4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree
Strong working knowledge of regulatory agencies, rules and guidelines, experience in reporting processes is preferred
Ability to prioritize, multitask and work independently, as well as collaborate within a team, in a deadline- driven environment
Strong interpersonal skills and capability to effectively communicate and build relationships with teams throughout the organization, as well as liaise with colleagues at different levels
Demonstrate attention to detail and an investigative approach to problem-solving
Proficient analytical skills and ability to provide meaningful data analysis to management
Intermediate experience with Microsoft Office applications, especially Excel
Previous work experience with reporting, data/file management, workflows, databases, SQL knowledge preferred
Knowledge of Bloomberg workstation
Knowledge of EDGAR and SEC site
Vendor knowledge RRS
Location: San Antonio, Texas, US
Internal Number: 6482480
About Alliancebernstein L P
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