Senior Compliance Officer

  • location: Franklin, TN
  • type: Permanent
  • salary: $80,000 - $90,000 per year
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job description

Senior Compliance Officer

job summary:
Randstad Professionals has partnered with Alliance Bernstein on their Corporate Headquarter move to the area!

Alliance Bernstein is actively seeking a Coding Team Leader which is part of the Investment Management Operations-Portfolio Services Department.

This position will be responsible for leading a team of individuals and performing compliance coding functions for the Client Guide Management function.

location: Franklin, Tennessee
job type: Permanent
salary: $80,000 - 90,000 per year
work hours: 8 to 5
education: Bachelor's degree
experience: 4 Years
This position will perform various Investment Compliance tasks including interpreting guidelines, coding and ad hoc functions. This individual will be expected to work as a team leader and will need to be able to communicate effectively with various internal and external Clients.

Key Job Responsibilities include but not limited to:

  • 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 new investment restrictions in UAT and document test cases to ensure coding is accurate in Compliance systems.
  • Perform data integrity checks in the compliance applications and address gaps by working with Data Management and Technology tosource or update information.
  • Develop and perform, manual testing for portfolio constraints/rules that cannot be coded into the compliance systems.
The ideal candidate should have the following qualifications:

  • Bachelor's degree in Finance, Economics, Accounting or another relevant discipline.
  • 4+ years' experience in the Financial Services Industry; Compliance experience is necessary.
  • Team work experience is strongly desired.
  • Experience in Compliance Tools is a necessity.
  • Excellent Analytical, financial and technical skills desired.
  • High attention to detail and strong communication skills.
If qualified and interested, APPLY NOW or email resumes to Mallorie Godwin at

skills: Compliance, Investments, Portfolio Management, Investment Management
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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