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Compliance Team Leader Location : LocationUS-TX-San Antonio ID 2020-6911 Category Operations & Technology Position Type Full-Time
The Legal and Compliance Department is responsible for protecting the firm from regulatory and reputational risk across the globe and strengthening the firm's culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that prevent, detect and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm's business strategy and objectives while maintaining a high standard for integrity.
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.
We are seeking a San Antonio based Private Wealth Compliance – Team Leader to join our Global Operational Risk Management Department.
As the new Private Wealth Compliance – Team Leader, you will provide support to the Private Wealth business, as needed, and work as a team with the other professionals in the group. You will supervise 2 Compliance Analysts and assist in managing the processes within the group. The Compliance Team is essential to Private Wealth business to ensure compliance with applicable Anti-Money Laundering laws and protecting the firm from regulatory and operational risks. In addition, the Compliance Teams enforcement and procedurally-focused reviews help to maintain the compliance with internal account type and product requirements, detect and mitigate risk, while maintaining the high standard for integrity.
As the Private Wealth Compliance Associate – Team Leader within the Legal and Compliance group, you should be detail-oriented, and have the ability to solve problems, prioritize tasks, and work well under pressure. As a Private Wealth Compliance Associate – Team Leader, you will:
Perform the legal and compliance work related to the new account opening process for Bernstein Private Wealth Management clients including reviewing and analyzing all new private client discretionary and alternative investment accounts
Utilize your critical thinking skills as you read and analyze complex client documents, including trusts and pension plans, and respond back to questions about these documents accordingly
Protect the firm's reputational risk by ensuring compliance with all regulatory and firm requirements, including conducting AML due diligence for non-US clients
Uphold the firm's fiduciary responsibility by verifying product and client suitability and providing guidance to financial advisors and associates
Reinforce the firm's reputation for exceptional client service by preparing customized offering materials
Employ your written communication skills by drafting client communications
Contribute to the talent development of the firm by coordinating with business liaisons to create training courses and FAQs for our salesforce
Showcase your relentless ingenuity by updating and implementing new processes both in legal and sales
Contribute towards the team orientation of the department by being willing to assist with other projects and tasks, as needed
Manage the relationship between Legal and Compliance, the San Antonio Operations Team and the Private Client Business
Support the San Antonio Team by answering any questions that may arise and manage the day to day processes of the team
Knowledge and experience of AML, Fraud Prevention, and compliance monitoring is preferred.
Location: San Antonio, TX
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