Investment Guideline Compliance Analyst

Who you'll work with:

We are seeking a Nashville, TN based Client Guideline Management Analyst to join our Client Guideline Management (CGM) team, which is part of the Investment Management Operations – Portfolio Services department.  The CGM 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:

CGM 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 is the professional development value of this role, i.e. what learning and professional growth does the role offer the candidate?

The role is currently evolving as the environment changes. This role provides an opportunity to learn from some of most experienced investment professionals in the business as well as very seasoned members of the AB operations, technology, and portfolio management teams. This role will afford the opportunity for good exposure to senior members of AB management team and provide opportunities to contribute in a very meaningful way.

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)
• The candidate should h