We are looking for an attorney to support the Bernstein Private Wealth Management (“Wealth Management”) division. You will focus on providing legal and regulatory advice to Wealth Management’s financial advisors and associates and supporting the senior members of the Wealth Management legal team. You will also assist with the firm’s response to regulatory inquiries, and will be responsible for implementing new regulatory initiatives, compliance training efforts, and for developing compliance policies and procedures.
About the Department:
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.
About the Team:
The Wealth Management Legal team supports Wealth Management which is comprised of over 200 U.S.-based Financial Advisors (“FA”). The FA’s focus on providing advanced planning strategies and a wide array of investment management services to high-net-worth families, endowments and foundations, and institutions to help them reach specific financial objectives. We work in close partnership with the FAs to provide guidance. 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 our team to think creatively to solve problems to support business initiatives.
The Wealth Management Legal team is in New York, NY and Nashville, TN. You will be based in Nashville, TN and report to the Director of Wealth Management Legal.
Skills You Showcase:
Your intellectual curiosity about U.S. and global financial products and services and willingness to learn new areas of the law and compliance as they relate to these rapidly evolving businesses are critical to your success. This is a fast-paced and dynamic environment. To execute your responsibilities, you must be comfortable managing competing priorities and providing thoughtful, well-reasoned guidance in nuanced circumstances so that we meet legal and regulatory requirements, our fiduciary responsibilities, and client expectations. Your exceptional interpersonal communications skills will help you as you collaboratively problem-solve situations to meet the expectations of demanding clients.
§ Juris Doctor degree and member in good standing with state bar association
§ 3-7+ years of experience at a reputable law firm or as an in-house attorney
§ General knowledge of and experience with trusts and estates, wealth planning and tax
§ Knowledge of and experience with the various state laws and IRS rules governing trusts and estates, powers of attorney, and tax rules related to wealth management and planning
§ Specific knowledge of the rules applicable to investment advisers and/or broker-dealers (including sales and trading, U.S. securities laws, FINRA rules) and ERISA rules and regulations
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.
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.