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.

Describe the role:

This entry level position will process financial activities within the Transfer Agent (TA) and perform functions related to risk and compliance. This includes, but is not limited to, the execution and settlement of various trades, quality control of trades processed, surveillance of electronic communication for adherence to regulations, and review of alerts on investor data.

The best candidate for this position will possess strong attention to detail and have foundational knowledge regarding operations.

The key job responsibilities include, but are not limited to:

• Process mutual fund transactions, such as subscriptions, redemptions, as-of trades, and trade corrections
• Perform ancillary tasks related to transaction processing
• Research and respond to inquiries regarding trade execution and settlement
• Review electronic correspondence to ensure compliance with FINRA regulations and company policies
• Assist in the daily resolution of department support items (workflow management system, e-mail)
• Document results/outcomes, supervisory instructions, exception processing, or other miscellaneous comments on workflow management systems
• Meet SLA delivery and productivity targets for each function
• Meet quality standards as outlines by department management

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

An ABIS Operations Analyst has the opportunity to learn about various aspects of operations functions ranging from transaction processing, to risk and compliance functions. He/she will gain exposure to compliance requirements for both the Transfer Agency and Bernstein.

Job Qualifications (The ideal candidate should have the following):

Qualifications, Experience, Education:

• The ideal candidate should have a bachelor’s degree or equivalent in Finance, Economics, Accounting or another relevant discipline that provides an understanding and interest in the financial markets and trade flow
• Foundational knowledge of mutual fund back-office operations, transfer agency, transaction processing, or risk and compliance
• Experience in trade processing, settlement, compliance surveillance is a plus
• Experience working with a team environment with time sensitive deadlines is desired

Skills:

• Detail-oriented – Delivers high quality, accurate work in a fast-paced environment
• Organized and thorough - Establishes priorities and follows through on tasks to completion
• Strong analytical skills – Ability to follow documented procedures and apply sound professional judgment
• The individual will be expected to work as a part of a global team and will need to be able to communicate effectively with various internal and external teams. Candidates should have a strong ability to work in a collaborative environment exhibiting strong verbal and written communication skills
• Ability to work in a fast paced, dynamic, and changing environment which includes daily interaction internally and externally with various Transfer Agent and Operations teams
• Working knowledge in MS Excel and MS Access is a plus

Special Knowledge (if applicable):

• Knowledge of mutual funds, financial or business operations, and familiarity with capital markets, banking, and securities