Operations Associate

5 months ago


Pune Maharashtra, India AllianceBernstein Full time

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.

Ops Group Description:
The Proxy and Class Actions Department provides middle and back-office functions. The associate will support Investment Management Activities in Securities, Proxy Administration and Class Actions. The Department is responsible to ensure accounts have Proxy service established, claims are filled for Class Action.

Ops Job Description:
We are seeking a Class Actions & Proxy Analyst to join our Class Actions & Proxy Team within Institutional Investment Management Operations located in Pune, India. People of color, women, and 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.

Describe the role:
The key job responsibilities include, but are not limited to:

- Learn Regulatory Reporting System, “RRS”, and ensure that daily alerts are actioned appropriately. Liaise with Compliance teams in the US, UK, and Asia as necessary to review potential regulatory shareholding disclosure filings.
- Work with Manager to learn the following within with RRS system:

- Review of daily global filings and reconciliation to AB holdings data as needed
- Review of quarterly U.S. 13F and monthly / annual 13G filings
- Complete disclosures as needed and submit to relevant parties, including electronic submissions to Edgar for US filings
- As the department’s responsibilities grow, assist in analysis and creation of additional regulatory reports as needed.
- Participate in various projects related to RDMS and Regulatory Reporting as needed. These may include Position Limits Monitoring, HK and AU Short Reporting, Daily Restricted List Reengineering, and CADIS Equity Automation.
- Participate in User Acceptance Testing as necessary related to system enhancements.
- Ensure that departmental policies and procedures are up to date.
- Assist RDMS management on department initiatives and projects.

What makes this role unique or interesting (if applicable)?

There are continuous opportunities to It is quite interesting to work with our Compliance colleagues at AB and Equitable to solve problems and work through issues / technical solutions together

This role enables the employee to dive into the reference data aspect of the securities industry while at the same time connecting it to global regulatory rules. Regular interaction with Compliance professionals also affords learning opportunities. At the same time, this employee is expected to take advantage of the various internal professional learning and training opportunities that AB offers.

Qualifications, Experience, Education:

- 4-year undergraduate degree, preferably in business related discipline.
- 2 years of work experience in a function that has some financial related analysis.
- Previous role/internships working in financial services.
- A keen interest in learning and improving financial operations.
- Understanding of Regulatory Reporting or Security Reference data
- Capital Markets.
- Excellent communication skills.

**Skills**:

- Strong knowledge of Microsoft Office, specifically MS Excel tools and functions.
- Exceptional attentional to detail.
- Communicate effectively, work well in a team setting, and be able to effectively handle changes with a positive outlook.
- Motivated and self-disciplined with a strong work ethic and the ability to work independently to meet deadlines.
- Excellent communication skills.

Pune, India



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