Listed Equity Option Sr. Compliance Analyst recruitment
Position
***How to Apply:
Submit cover letter and CV to www.alliancebernstein.com/careers, search by Job ID 5066****
The Sanford C. Bernstein Co., LLC Compliance team of AB Legal and Compliance is in search of a compliance professional to join its broker/dealer compliance team. The candidate will report to the SVP/Chief Compliance Officer. The Legal and Compliance team provides compliance advisory services to the sell side broker dealer. The compliance person will play a key role in the day to day compliance advisory and surveillance activities of the compliance group and the various business units and trading operations of the broker/dealer. The candidate will play an integral role in the ongoing surveillance and advisory functions of the broker/dealer.
Job Qualifications
The ideal candidate should have between 3 to 5 years of experience in the finance industry, with a broker/dealer compliance department or in a regulatory capacity with experience in dealing with a Listed Equity Options and Equity Trading desk(s). The candidate should possess a Bachelor’s degree with previous broker/dealer experience. The candidate should possess strong communication, analytical skills as well as being organized and detail-oriented. The candidate must demonstrate the ability to work under pressure with time constraints. In addition, the candidate must demonstrate being comfortable with and proficiency in the use of various technologies, including spreadsheets, word documents and working with other software products.
Job Description
• Conducting and improving surveillance process for the securities in various areas such as Cash Equities Trading, Program/Algorithmic Trading, Listed Equity Options Trading, Order Audit Trail System (“OATS”) and various other business operations.
• Collaborating with other compliance and business groups to provide compliance advisory services.
• Providing day-to-day surveillance reviews which are integral to timely and efficient compliance management.
• Learning various firm resources and building a strong foundation of knowledge within various business units.
• Involvement in special projects, training activities and other duties as assigned.
Location
New York, New York, USA
How to Apply
Submit cover letter and CV to www.alliancebernstein.com/careers, search by Job ID 5066
Company Description:
AllianceBernstein is a leading global investment management firm that offers high-quality research and diversified investment services to institutional clients, individuals and private clients in major markets around the world. AllianceBernstein employs more than 3,000 professionals globally including investment professionals with expertise in growth equities, value equities, fixed income securities, blend strategies and alternative investments and, through its subsidiaries and joint ventures, operates in more than 22 countries. AllianceBernstein’s research disciplines include fundamental research, quantitative research, economic research and currency forecasting capabilities. Through its integrated global platform, AllianceBernstein is well-positioned to tailor investment solutions for its clients. AllianceBernstein also offers independent research, portfolio strategy and brokerage-related services to institutional investors.
Sanford C. Bernstein Co., LLC is a leading broker/dealer that offers high-quality research and execution services to institutional clients, and employs more than 400 professionals globally. Currently Sanford C. Bernstein Co., LLC has offices in New York, Los Angeles, London, Zurich, Stockholm, Hong Kong and Singapore. Sanford C. Bernstein is widely recognized as Wall Street’s premier sell-side research firm. Our research is sought out by leading investment managers around the world, and we are annually ranked at the very top of acknowledged arbiters. In independent surveys of major institutional clients, Bernstein's research is ranked #1 for overall quality, industry knowledge, most trusted, best detailed financial analysis, most useful valuation frameworks, and best original research. In Institutional Investor’s 2011 annual client survey, the leading survey by which analysts in our industry are evaluated, over 90% of our U.S. Analysts were recognized as among the best in their respective fields - more than any other firm on Wall Street.
Since Sanford C. Bernstein was founded in 1967, research has been our calling card. The Bernstein research brand is defined by our renowned Blackbooks, reports known for their unbiased, in-depth company and industry forecasts. We have a community of Research Analysts who are acknowledged thought leaders that typically have years of experience in the industries they cover. Our reputation is for the very highest caliber of independent and disciplined investment and industry analysis. We are a wholly-owned subsidiary of our buy-side parent, AllianceBernstein.