AO​/Compliance Associate

Who You’ll Work With:

Alliance Bernstein is seeking a detail-oriented Compliance Associate to support the firm’s electronic communications surveillance, trade surveillance, legal preclearance, and related compliance control functions. The Associate will help review and resolve surveillance alerts, administer monitoring workflows, support access and population management, and partner with Legal & Compliance colleagues and business stakeholders to identify, escape, and resolve potential compliance issues. This role requires strong judgment, careful documentation, and the ability to manage recurring control processes while responding to matters that require timely follow-up and escalation.

What You’ll Do:

Oversee the review of electronic communications to help ensure compliance with relevant regulations, firm policies, and internal surveillance procedures. Support electronic communications escalations, including requests for information, issue tracking, and resolution of matters assigned for follow-up. Perform second-line surveillance oversight of trading activity through systematic monitoring, alert review, and investigation of potential market conduct and trading-related risks. Review and investigate alerts designed to identify potential market abuse and trading conduct risks, including insider trading, front running, market manipulation, information leakage, conflicts of interest, and other potentially inappropriate trading activity.

Escalate potential compliance concerns, suspicious trading patterns, or other matters requiring further review to Compliance management and appropriate stakeholders. Support the Legal Preclearance program by reviewing and processing transaction requests, evaluating potential regulatory, fiduciary, and conflict-of-interest risks, applying applicable trading restrictions and firm policies, and escalating complex or high-risk matters as appropriate. Assist with periodic reporting, regulatory examinations, audits, risk assessments, and special projects relating to preclearance and trading controls.

Support the enhancement of surveillance processes, workflows, reporting, and technology solutions through process improvement, automation, and data-driven initiatives. Stay current on regulatory expectations, industry developments, and emerging conduct risks relating to trade surveillance, electronic and voice communications surveillance, legal preclearance, market abuse, insider trading, conflicts of interest, and other Compliance monitoring, surveillance, and control functions.

Bachelor’s degree required; degree in business, finance, accounting, economics, legal studies, information systems, or a related field preferred. Two to five years of experience in compliance, electronic communications surveillance, employee compliance, trade surveillance, financial services operations, audit, risk management, or a related control function. Working knowledge of compliance monitoring, electronic communications controls, employee compliance workflows, and escalation protocols preferred. Working knowledge of securities markets, trading practices, market conduct risks, and asset management operations.

Excellent attention to detail, organization, documentation discipline, and ability to manage time-sensitive requests in a high-volume environment. Strong analytical skills, sound judgment, and the ability to evaluate facts, identify potential issues, apply review criteria, and recommend appropriate next steps. Strong written and verbal communication skills, including the ability to explain compliance requirements clearly and professionally to reviewers, employees, and business stakeholders.

Demonstrated discretion and ability to handle confidential employee, client, business, and firm information appropriately. Proficiency with Microsoft Office, particularly Excel, Word, Outlook, PowerPoint, and Copilot. High ethical standards and a strong commitment to protecting client interests and supporting a culture of compliance. Ability to work independently while collaborating effectively with global colleagues, Technology, Legal, and business partners. Comfort operating…