Investment Guideline Compliance

AllianceBernstein L.P.; Pune District; On-site; INR 700,000 - 1,000,000; Full time

Job summary

AllianceBernstein L.P. in Pune, India, is seeking a Pune-based Analyst to join Investment Guideline Compliance (IGC) within Global Technology & Operations.

The role focuses on interpreting guidelines, coding rules, and testing investment restrictions across compliance systems, with interaction across front office, portfolio management and the data team. Candidates should have a finance-related degree and strong Excel skills; familiarity with SQL or MS Access is a plus and training will be

Qualifications

• Degree in Finance, Economics or Accounting required or considered with 2–3 years finance experience
• Strong Excel skills and attention to detail for data-related tasks
• Familiarity with investment guidelines/regulations is a plus and training will be provided

Responsibilities

• Support Investment Guideline Management activities across guideline documentation reviews, rule coding implementation & rule testing
• Read, identify, and interpret investment restrictions from guidelines and other sources used for account management
• Code rules into compliance applications from client guidelines
• Test and implement new investment restrictions across systems ensuring accuracy
• Perform data integrity checks and coordinate with Data Management and Technology to source or update information
• Produce reports and maintain records and archives
• Respond to inquiries about investment guideline compliance
• Update restricted lists daily/weekly/monthly

Skills

Teamwork

Excel proficiency

Fixed Income familiarity

Regulatory knowledge

SQL

MS Access

Education

Finance/Economics/Accounting degree

Tools

SQL

MS Access

Job description

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.

Job Description Summary

We are seeking a Pune based Analyst to join our Investment Guideline compliance (IGC)in Global Technology & Operations.

Team/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 IGC 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.

Role Description

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.

Key job responsibilities

• Responsible for supporting all Investment Guideline Management activities across guideline documentation reviews, rule coding implementation & Rule Testing.
• 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
• Restricted list update (Daily/Monthly& Weekly)

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.

Job Qualifications

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)

Skills

• 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

Special Knowledge

• Technical skills including SQL or MS Access is a plus.

Pune, India

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 51 locations operating in 25 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!

Equal Opportunity

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.

Recruitment Notice

Please be advised that AB does not solicit confidential information from job applicants during the screening process, nor extend job offers without the candidate participating in a series of interviews to be properly considered for an open role. If you receive requests for confidential information, outside of the formal interviewing process even if the person asserts that they represent AB, we encourage you not to reply.