Role Responsibilities The Director of Compliance has trading and investment operations compliance experience and is both a strategic thinker and a solutions-oriented leader. You are an innovative problem solver with a passion for creatively resolving challenges through the innovative use of technology and human capital. You are comfortable managing competing priorities and effectively communicating highly technical compliance-related requirements so that a non-compliance professional can understand. You are a liaison to various departments and considered a go-to resource as you provide well-reasoned guidance to nuanced circumstances so that we meet our regulatory requirements and our fiduciary responsibility to our clients. You enjoy being a change agent as you create efficiencies through improved process, procedures, and the implementation of technology. You will primarily oversee all aspects of operational compliance, including the compliance monitoring program testing, trading, allocations and the compliance risk assessment. Your exceptional, clear, and concise interpersonal communication skills will help you as you oversee and coordinate compliance testing, surveillance, and training efforts. You will utilize your intellectual curiosity as you keep abreast of all the regulatory requirements and changes that impact the jurisdictions in which we conduct business and will assist the Chief Compliance Officer on regulatory examinations, ongoing compliance monitoring, risk assessment management, and global compliance integration. Areas of your subject matter expertise may include any of the following topics: Trading and Market Manipulation Compliance; Fair Allocation; Back Office/Operations Support; Use of Non-Public Information/Insider Trading; Regulatory Reporting and Filings; Regulatory Exams; Investigations and Audits; Best Execution; Custody; Investment Management Guidelines. You will demonstrate agility in handling a variety of other matters as they arise. About the Department The Legal and Compliance Department is responsible for ensuring compliance with all 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. About the Team The Compliance Department covers a wide spectrum of functional areas, including Code of Ethics; Distribution, Investment, and Operations Services; Regulatory Reporting; and Broker-Dealer Compliance. We are driven towards process improvement supported by innovation and technological improvements. We place a high value on teamwork and collaboration to facilitate knowledge sharing and bolster each team member’s ability to contribute, grow, and succeed. We work together to develop skills necessary to operate at a high level while inspiring and motivating others within the Compliance Department to think creatively to solve problems to support business initiatives. Minimum Qualifications Bachelor's degree (or equivalent) with 7 years of financial services experience Strong knowledge and understanding of the financial services industry, the market participants, products and services provided, and an end-to-end understanding of investment transactions Experience in understanding and implementing processes, controls, and/or supervision or compliance activities relating to new/changed financial services regulations - specifically those of the SEC (Securities Exchange Act of 1934 and/or Investment Advisors Act of 1940) and/or FINRA Experience in implementing processes, controls, governance, and/or compliance activities for new/changing business models, services/products, and/or technologies Preferred Qualifications Trading, fair allocation, and operational experience is preferred. Securities licenses such as: Series 7, Series 24, Series 63/65 are preferred. Experience with compliance monitoring and/or investment tools for Investment Advisers 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 3,700 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. People of color, women, and those who identify as LGBTQ people 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, as well as practices, seek to ensure that employment opportunities are available to all employees and applicants, based solely on job-related criteria. #LI-MC1 Nashville, Tennessee