Broker Dealer and Regulatory Reporting Associate - Americas

Who You’ll Work With:

We are seeking a Nashville, TN based associate to join our Broker Dealer and Regulatory Reporting group in Broker Dealer Operations, with a concentration of responsibilities in Regulatory Reporting including but not limited to FINRA rules and regulations, SOX and external audits, and client reporting.

Broker Dealer Operations is responsible for the support of and custody of AB’s Private Wealth business.  The broker dealer is a registered subsidiary entity in multiple countries with multiple exchange memberships which operates across 45+ markets.  The broker dealer operations support team is in place to support all Private Wealth activity and works within the global support framework to provide the highest quality of service to internal and external global client base.  Since 2012 the operational functions have been outsourced to a major industry provider leaving a global team of 11 highly skilled individuals in broker dealer processing and regulations to provide the necessary oversight for the daily activity.

What You’ll Do:

Combination of internal reporting/workflow systems and vendor application Broadridge (BTS).  Support of internal stakeholders which include our private wealth business, including legal/compliance, internal audit, risk management, back-office operations, and technology teams.

This role will encompass several different disciplines across regulatory reporting, audit and risk control, and client reporting. This role will include liaising with various external vendors to deliver accurate and high-quality reporting for both our internal partners and our external clients.

1.     FINRA Regulatory Reporting:

• Prepare and submit accurate and timely reports to the Financial Industry Regulatory Authority (FINRA).

• Monitor regulatory changes and ensure compliance with all FINRA reporting requirements.

• Collaborate with internal teams to gather necessary data and ensure the integrity of reported information.

2.     Internal SoX Audit Reporting and Control:

• Support the execution of Sarbanes-Oxley (SoX) compliance activities, including documentation and testing of internal controls.

• Assist in identifying and mitigating risks related to financial reporting.

• Work with internal audit teams to address findings and implement corrective actions.

3.     External Audit Reporting and Control:

• Coordinate with external auditors to facilitate the audit process and provide necessary documentation.

• Ensure timely and accurate responses to audit inquiries and requests.

• Implement and monitor controls to address audit recommendations and improve reporting processes.

4.     Private Wealth Client Reporting:

• Prepare and distribute comprehensive reports for private wealth clients, ensuring accuracy and clarity.

• Collaborate with client service teams to address client inquiries and reporting needs.

• Continuously improve reporting processes to enhance client satisfaction and service delivery.

5.     Broker Dealer Control and Risk Reporting:

• Develop and maintain risk and control reports for broker-dealer operations.

• Identify potential risks and implement strategies to mitigate them.

• Work with cross-functional teams to ensure effective risk management and control practices.

What We’re Looking For:

• Bachelor’s degree and SIE and/or series 99 or series 7 (not required for hire but will be required to obtain within six months of hire date). 

• 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 desire to work in a team-oriented environment.

• Demonstrated discretion and ability to handle confidential employee, client, business, and firm information appropriately.

• Strong analytical skills, sound judgment, professional maturity, and willingness to ask questions.

• Ability to manage multiple priorities and meet deadlines in a fast-paced environment.

About AB 

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! 

All 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 and practices seek to ensure that employment opportunities are available to all employees and applicants based solely on job-related criteria.

Nashville, Tennessee