Company Description:
As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.
With over 4,400 employees across 51 locations in 25 countries, our people are our advantage. We foster a culture of intellectual curiosity and collaboration to create an environment where everyone can thrive and do their best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to clients, we’re looking for unique voices to help lead us forward. If you’re ready to challenge your limits and build your future, join us.
Who you'll work with:
We are seeking a Nashville, TN based Investment Guideline Compliance Analyst to join our Investment Guideline Compliance (IGC) team, which is part of the Investment Management Operations – Portfolio Services department. The IGC Analyst will be part of the team responsible for ensuring accurate and complete investment guideline compliance for regulatory and client-based constraints across Fixed Income, Equity, and Multi-Asset portfolios.
Group Description:
IGC is responsible for the daily management of client investment guidelines through multiple compliance systems, most notably, ION Sentinel / Latent Zero. We ensure that investment guideline restrictions are maintained and followed; ensuring proper notification of guideline compliance is dispersed to all relevant parties. The CGM team plays a key role in the investment process; a critical part of performing our fiduciary responsibility is properly implementing and monitoring key investment guidelines.
Describe the role:
To perform various Investment Compliance tasks including interpreting guidelines, coding, and ad hoc functions. The individual will be expected to learn the various compliance platforms and to also learn the regulatory and client guideline requirements. The Analyst will need to be able to communicate effectively with various internal and external clients.
Describe the applications and business or enterprise functions the role supports:
Client Guideline Management analysts support and/or deal with the following internal clients – Portfolio managers, Assistant Portfolio Managers, Traders, Trade Support, Legal and Compliance, Sales, and Risk. On a daily basis, the Analyst will use Sentinel, Linedata, Enfusion, Microsoft Excel, and Microsoft Office; internal applications such as ACE & Global Optimizer (GO); and use multiple vendors such as Bloomberg & MSCI.
What you'll do:
Responsible for supporting all Client Guideline Management activities across guideline documentation reviews, rule coding implementation, trade compliance, and portfolio compliance functions:
Read, identify, and interpret investment restrictions from guidelines and various other
sources used for effective account management Code rules into our compliance
applications from client guidelines
•Test and implement new investment restrictions across compliance systems, ensuring
coding is accurate and complete across regulatory and client-specific requirements
•Perform data integrity checks in the compliance applications and address gaps by working
with Data Management and Technology to source or update information
• Produce reports, document records, maintain and archive such records and reports
• Respond quickly and accurately to inquiries regarding investment guideline compliance
What makes this role unique or interesting?
This role will expose the employee to many functional areas within the investment management process, including sales, portfolio management and risk; the employee will also have the opportunity to learn about the data required to support the investment guideline compliance process, and gain an appreciation for the complexity of the instruments we invest in. The engagement with both front office/trading/portfolio management and back office/technology areas, makes this role especially interesting and challenging. The exposure to multiple business areas – including Fixed Income, Equity and Multi Asset – will provide the analyst with broad exposure to the different business disciplines. The role consists of daily fixed responsibilities and duties; however, the individual will also be expected to help with many projects and ad hoc tasks.
What We're Looking For:
The ideal candidate should preferably have a degree in Finance, Economics, or
Accounting. (we will consider candidates with non-finance degrees with 2/3 years of experience in finance)
• The candidate has experience working with a team and meeting time sensitive deadlines
• The candidate should be proficient in Excel. Experience with investment compliance tools is preferable, however additional training will
be provided to support the role.
• Familiarity with Fixed Income instruments is a plus
• Familiarity with investment fund regulations including 1940 Act and UCITS
• Familiarity with ESG screening data across vendors such as MSCI, ISS, or Sustainalytics
•Progress towards and/or completion of the Chartered Financial Analyst (CFA) program is a
plus.
• Technical skills including SQL or MS Access is a plus.
Special Knowledge:
Our analysts typically have a track record of outstanding professional performance or academic
Pune, India
