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Compliance Manager - ECM Compliance

Alliance Bernstein
Closing date
26 Jun 2022

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Contract Type
Full Time
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The Firm:

Bernstein Autonomous LLP ("BALLP") is regulated by the UK's Financial Conduct Authority as an agency broker dealer. It is a member of the Sanford C. Bernstein group of companies that operate globally, and which are ultimately owned by AllianceBernstein LP("AB").

BALLP's principal activity is the provision of high-quality independent pan-European research and brokerage services in equity instruments to institutional clients. BALLP also acts as an execution broker for its affiliates, Sanford C. Bernstein & Co., LLC (US based clients) and Sanford C. Bernstein Ireland Limited (some European clients). In addition, the Firm distributes US and Asian equity research, produced by US and Asian based analysts, to its pan-European client base.


BALLP is looking for an experienced ECM compliance professional to support the Firm's new equity capital markets ("ECM") business. This role will involve developing and supporting an appropriate Control Room for both ECM and the wider Firm's trading and research activities, as well as providing compliance advisory support to the ECM team. This role will also be responsible for training front office staff, managing market soundings and conflicts of interest, and keeping policies and procedures up to date. The individual in this role would also be expected to train up the wider European compliance team in relation to ECM compliance matters in order to ensure there is sufficient bandwidth.

The individual in this role will also be expected to pick up general compliance tasks within the wider compliance monitoring programme, as well as projects relevant to the wider broader BALLP business.

In successfully fulfilling the role, the Compliance Manager will need to closely partner with the ECM team, as well as Senior Management of the Firm.

This role is an excellent opportunity for an individual with ECM compliance experience to take a step up to become a real partner to the ECM business as the business is built out, as well as enabling the successful candidate to diversify the work that they take responsibility for. It is expected that this role will enable the successful candidate to gain visibility with senior management and advance their experience and knowledge at a fast pace.

Role Responsibilities

Strategy & Leadership
  • Provide leadership example by adhering to corporate cultural and conduct standards.
  • Provide advice to Senior Management on matters affecting the regulatory position of the Firm.
  • Secure early involvement in projects, new initiatives, services and products to ensure that regulatory issues are considered.

Fiduciary Requirements
  • Ensure that the Firm's regulatory risk is appropriately recognised and managed.
  • Provide the Senior Management of the Firm with expert regulatory risk management.
  • Ensure the Firm complies with all relevant regulatory filing requirements.

People Management
  • Provide management and guidance to colleagues when participating in Firm projects and initiatives.
  • Manage relationships with clients.

Regulatory and Legal Requirements
  • Take responsibility for developing and supporting the Control Room for ECM activity.
  • Provide expert support in relation to market sounding rules and conflicts of interest.
  • Create and update policies and procedures and drive process improvement.
  • Deliver training to staff.
  • Assessment and mitigation of regulatory risks affecting the Firm.
  • Ensure relevant business units are fully informed of the regulatory risks associated with any proposed commercial strategy.
  • Maintain up to date knowledge of UK and European regulatory requirements.

Key Behavioural Competencies
  • Act with integrity.
  • Lead Change.
  • Communicate with impact.
  • Build internal relationships with business units.
  • Operate on own initiative when required.
  • Understand of commercial needs of the Firm.
  • Understand and thoughtfully apply applicable regulatory rules and legislation.
  • Good organisational skills.
London, UKSummary
  • Location: London, UK
  • Type: Full time
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