Fund Compliance Analyst

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 4,400 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.

Describe the role:

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.

TEAM DESCRIPTION

The Mutual Fund Compliance Team is responsible for compliance oversight in the following areas: AB’s 1940 Act Mutual Funds (including Exchange Traded Funds (“ETFs”), AB’s Luxembourg Registered Funds (“UCITS”), Sub-Advised 1940 Act Funds where AB is the Sub-Adviser, and AB’s Business Development Corp (“BDC”). In addition to monitoring and training activities, we are responsible for providing reporting to the Fund Board of Directors and external Advisers. Finally, we take great pride in being a value-add resource to internal clients, most notably Portfolio Management and the Request for Information and Request for Proposal teams.

ROLE DESCRIPTION

You will support the existing compliance oversight of our asset management activities associated with Luxembourg-domiciled funds and provide support to the EMEA corporate secretary.

Responsibilities include:

• Review and maintain daily custodian reports;

• Prepare monthly Portfolio Manager Commentaries for passive breaches over 30 days old;

• Log passive breaches reported from custodians;

• Review, approve, and maintain approval list for new ETF requests;

• Monthly SFDR E/S reporting

• Monitor SFDR Good Governance and Do No Significant Harm passive breaches from Client Guideline Management for AB’s Lux Compliance Committee;

• Review daily Hong Kong/Taiwan Derivative testing results;

• Review aged incidents report for UCITS;

• CLO reviews for Securitization Committee; and,

• Assist the EMEA corporate secretary with the management of board meeting documentation and closing open actions.

MINIMUM QUALIFICATIONS

• 1-3 years of compliance experience, UCITS experience a plus

• Four-year college degree (advanced degree is a plus)

• Proficiency with MS Office, especially Excel

Preferred Qualification

UCITS experience

Pune, India