AllianceBernstein (AB) is a global investment-management firm providing industry-leading research and investment solutions through a combination of innovation, intellectual curiosity and relentless ingenuity. We offer high-quality research and diversified investment services to institutional and individual investors worldwide. Our clients include some of the world's top institutions as well as private-wealth clients and retail investors. Through close partnerships with our clients, we collaborate on investment strategies across regions and sectors to inspire innovative thinking and deliver superior outcomes.
We invest in our people and in the communities in which we operate, and we celebrate our diversity to showcase what makes us unique. We offer our talent the opportunity to grow professionally while working on cutting-edge ideas and outcomes in a global culture that operates as a tight-knit community.
DEPARTMENT PROFILE
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are 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 detect, address 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.
ROLE DESCRIPTION
As a paralegal for the Legal and Compliance Department, you should be detail-oriented and have the ability to solve problems, take initiative and prioritize tasks, and work well as part of a team. In this role you will:
- Draft correspondence. collect and produce documents related to subpoenas, document requests, regulatory inquiries, SEC examinations, FINRA arbitrations, and other legal matters.
- Track all legal and regulatory matters for in-house counsel and prepare reporting related thereto.
- Work collaboratively with in-house counsel and serve as the liaison between outside counsel and business leaders on litigation, regulatory and trademark-related matters.
- Showcase your critical thinking skills and intellectual curiosity by assisting with various department projects, the implementation of emerging regulations, and other daily legal and compliance tasks.
- Apply your strong interpersonal skills and professional demeanor with your extensive daily interaction with colleagues and business leaders at AB.
- Enjoy a fast-paced day managing competing priorities from multiple internal and external sources.
- Demonstrate agility in handling a variety of other matters as they arise.
MINIMUM QUALIFICATIONS
- Bachelor’s degree (or equivalent) or Associate’s degree in paralegal studies, with 3+ years of in-house or law firm experience as a litigation paralegal or legal assistant.
- Excellent communication and interpersonal skills.
- Strong analytical and problem-solving abilities.
- Strong sense of ownership, pragmatism, good judgment, and business sense. A strong work ethic, and an ability to inspire confidence and work with discretion.
- Demonstrate ability to work collaboratively to solve complex issues in a tight timeframe.
- Fluency in Microsoft office suite particularly in Word and Excel.
Preferred Qualifications
- General knowledge of investment management or financial services law and/or regulations.
