We are seeking a San Antonio based GORM Team Leader to join our Global Operational Risk Management Department.
GORM (Global Operational Risk Management) is responsible for detection and investigation of any potential or actual transactions that may be in violation of the policies and procedures established to ensure compliance with external regulations such as the Patriot Act and the Bank Secrecy Act and internal requirements such as prospectus stipulations. In addition, GORM provides a variety of transaction and surveillance reviews aimed at reducing potential fraudulent losses and/or detect and deter short term and excessive trading.
The role will supervise 5 Associates in the Global Operational Risk Management Department and assist the GORM Manager in managing the processes within the group. The GORM Team is essential to ABIS to ensure compliance with applicable Anti-Money Laundering, Blue Sky, and Excessive Trading (22c-2) requirements. In addition, GORM’s prospectus and procedurally-focused reviews help to maintain ABIS’ compliance with 22c-2 requirements, which ultimately benefit AB Funds on this previously scrutinized area.
The key job responsibilities include, but are not limited to:
Qualifications, Experience, Education:
Special Knowledge (if applicable): Knowledge and experience of AML, Fraud Prevention, and compliance monitoring.
Location: San Antonio, Texas
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.
If you're ready to innovate and grow your career, join us.
AllianceBernstein is an equal opportunity employer. We do not discriminate based race, color, creed, national origin, sex, age, disability, marital status, sexual orientation or citizenship status.San Antonio, TexasPosted 2 Days AgoFull timeR0004116
We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, individuals and private clients in major markets around the globe. With over 3,700 employees across 51 locations operating in 25 countries, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work.
Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we want to support you in making your impact. If you're ready to challenge your limits and empower your career, join us!