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 Beneficial Ownership & Regulatory Reporting Department supports Compliance while also being a liaison between operations and IT to drive process improvement and enhance operations.  The department is responsible to provide support to finance and compliance departments to ensure accuracy of regulatory information and disclosures utilized in annual reports, accounting analyses, investor presentations and Board of Director/Audit Committee materials.  The Department manages relationships with key stakeholders (Operations, Technology, Legal and Compliance) across multiple business lines to maintain the accuracy and quality of information for global regulatory and financial reporting.

Ops Job Description:

We are seeking a Reporting Analyst to join our Beneficial Ownership & Regulatory Reporting 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:

This is a key role providing support to our Legal and Compliance team that the candidate would need to understand basic security reference data details which includes the security, issuer, exchange and industry domains. At the same time, the employee must be able to review the various Compliance alerts and issues tied to these underlying data elements. There are both daily tasks which involve data and alert reviews as well as IT projects with global Compliance Analysts and AXA counterparts where one must be able to communicate clearly and confidently in order to drive solutions.  This role also includes work on department wide projects and initiatives.

                         

Describe the applications and business or enterprise functions the role supports:

This role supports Compliance while also being a liaison between operations and IT. The applications used are Apex, SPINTL / KM, RRS, ACE and Bloomberg.

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

What is the professional development value of this role, i.e. what learning and professional growth does the role offer the candidate?

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.

Job Qualifications (The ideal candidate should have the following):

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