Who you'll work with:

We are seeking a San Antonio based Private Wealth Compliance Analyst to join our San Antonio based Compliance Department.

 

The purpose of this job is to mitigate regulatory and reputational risk to the firm. The role will require an analytical approach, the ability to evaluate critical data elements, review complex client documents, research, evaluate and document findings, while ensuring adherence to firm and regulatory requirements. 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.

 

 What You'll Do:

Describe the applications and business or enterprise functions the role supports:

ACE – Cash Flow System         

SNAP – Record Keeping System

Office Team – Record and Maintenance System

BTS – Brokerage – Custody view system.

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 accountsUtilize 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 accordinglyProtect the firm’s reputational risk by ensuring compliance with all regulatory and firm requirements, including conducting AML due diligence for non-US clientsUphold the firm’s fiduciary responsibility by verifying product and client suitability and providing guidance to financial advisors and associatesReinforce the firm’s reputation for exceptional client service by preparing customized offering materialsEmploy your written communication skills by drafting client communicationsContribute to the talent development of the firm by coordinating with business liaisons to create training courses and FAQs for our salesforceShowcase your relentless ingenuity by updating and implementing new processes both in legal and salesContribute towards the team orientation of the department by being willing to assist with other projects and tasks, as needed

 

What We're Looking For:

1 to 2 years mutual fund operations or financial services experience (within ABIS is preferred)Bachelor’s degree (or equivalent) with 2+ years of related experience or experience in a legal or compliance department generallyStrong knowledge and understanding of the financial services industry and products and services providedComfortable implementing processes, controls, and/or compliance activities for new/changing business models, services/products, and/or technologiesKnowledge of private client business preferred Exceptional verbal and written communication skillsStrong problem-solving or analytical/critical thinking skillsAttention to detail and ability to multi-task/reprioritizeAbility to follow documented procedures and apply sound professional judgment

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

San Antonio, Texas