Broker-Dealer Regulatory Reporting & Audit Associate

AllianceBernstein L.P.; Nashville (TN); On-site; USD 90,000 - 130,000; Full time

Job summary

AllianceBernstein L.P. in Nashville, TN is seeking an associate to join the Broker Dealer Operations group with a focus on Regulatory Reporting, FINRA compliance, and SOX/audit controls.

You will collaborate across teams to gather data, ensure accurate reporting, and support private wealth client reporting and risk monitoring. The role requires 5–10 years in financial services, a Bachelor’s degree (SIE/Series 7 or 99 preferred to obtain), and strong attention to detail, communication, and

Qualifications

• Bachelor’s degree and SIE and/or Series 99 or Series 7 (not required for hire but required to obtain within six months).
• 5-10 years’ experience in the financial industry in both regulatory reporting and audit control.
• Excellent attention to detail, organization, and ability to manage time-sensitive requests in a high-volume environment.
• Strong written and verbal communication skills, paired with a strong team orientation.
• Demonstrated discretion and ability to handle confidential information.

Responsibilities

• FINRA Regulatory Reporting: Prepare and submit accurate and timely reports to FINRA and monitor regulatory changes.
• Internal SoX Audit Reporting and Control: Support SOX compliance activities and document internal controls.
• External Audit Reporting and Control: Coordinate with external auditors and provide necessary documentation.
• Private Wealth Client Reporting: Prepare and distribute detailed client reports and address inquiries.
• Broker Dealer Control and Risk Reporting: Develop and maintain risk and control reports for broker-dealer operations.

Skills

Attention to detail

Strong written and verbal comms

Analytical skills

Discretion

Team orientation

Education

Bachelor’s degree

Job description

AllianceBernstein L.P. in Nashville, TN is seeking an associate to join the Broker Dealer Operations group with a focus on Regulatory Reporting, FINRA compliance, and SOX/audit controls.

You will collaborate across teams to gather data, ensure accurate reporting, and support private wealth client reporting and risk monitoring. The role requires 5–10 years in financial services, a Bachelor’s degree (SIE/Series 7 or 99 preferred to obtain), and strong attention to detail, communication, and