Who You’ll Work With:

The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which AB is subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm’s culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that prevent, detect and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm’s business strategy and objectives while maintaining a high standard for integrity.
 

What You’ll Do:

As a Paralegal within the Alternatives Legal Team, you will execute your responsibilities in partnership with the team members. This is a fast-paced and dynamic environment. To execute your responsibilities, you are comfortable managing competing priorities and providing thoughtful, well-reasoned guidance to nuanced circumstances so that we meet regulatory requirements and our fiduciary responsibility to our clients. Your exceptional, clear, and concise interpersonal communication skills will help you as you collaboratively problem-solve situations to meet the expectations of demanding clients. We expect that you will execute your responsibilities efficiently and effectively.

Your responsibilities will include but not be limited to:

• Assisting with the design, documentation, implementation and monitoring of legal, compliance, governance and operational processes that support the alternatives business.

• Helping prepare, deliver, and run board meetings for US and Non-US Board of Directors for both registered investment companies and private funds.

• Managing projects for the Alternative Legal Team’s initiatives including periodic updates to offering documents and operating agreements.

• Assisting with the review and tracking fund side letters.

• Overseeing the formation maintenance and dissolution of both onshore and offshore fund entities and supporting related fundraising efforts

• Supporting required regulatory filings in the US and overseas, including Form D, Form PF, CTFC and Form ADV.

• Assisting with both fund and investment level AML/KYC reviews.

• Implementing technology solutions for the Alternatives Legal Team.

• Serving as an escalation point for expense management and invoicing issues associated with Alternative Legal vendors.

• Obtaining and maintaining necessary licenses for our funds to do business in certain jurisdictions.

• Serving as a point of contact with various vendors, including registered agent, independent auditor, and fund administrator.

• Working with fund management teams and client channels to implement new processes and policies.

• Maintaining, managing and developing the team’s forms, templates and processes and assist with knowledge management.

• Managing inventory of regulatory policies and ensuring related requirements are being met.

What We’re Looking For:

• 4+ years of experience in financial services, ideally in the role of corporate secretary, compliance professional, paralegal or project manager in a law firm or in-house legal and compliance department.

• Knowledge of investment management, particularly alternative investment funds (private or registered) preferred.

• Experience with entity management and document management software systems.

• Experience managing multiple projects simultaneously in a fast-paced, collaborative investment environment.

• Strong organizational and process management skills.
   

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.