Overview In this role you will provide practical, business-focused legal guidance to AB's Private Wealth Management (PWM) team, collaborating with the PWM leadership and AB's legal/compliance colleagues. You'll support the investment adviser and broker-dealer activities across product development, client and vendor arrangements, and regulatory considerations to enable the PWM business while managing risk. You'll advise on strategic initiatives and oversee documentation, policy development, and key contracts. The role offers meaningful impact by shaping PWM legal strategy in a global firm with a culture of integrity.
Responsibilities- Provide legal support for PWM operations related to investment adviser and broker-dealer activities, including product development, custody, credit and lending, alternative investments, and retirement plans (e.g., 401(k), cash balance).
- Review escalated client communications to assess complaints and related obligations.
- Collaborate with AB's compliance team to ensure adherence to SEC, FINRA, and state regulations.
- Draft and negotiate client, vendor, and other material agreements.
- Support PWM personnel with account opening and operational processes.
- Conduct periodic substantive reviews of client-related documentation and agreements.
- Assist in developing and maintaining internal policies and procedures.
- Handle special projects as assigned.
Key requirements- J.D. from an ABA accredited law school and admission to at least one U.S. state bar
- 5+ years of legal experience with a focus on investment management, private wealth, trusts and estates, and/or financial services (in-house or law firm)
- Experience with contract drafting and negotiations (vendor agreements, investment management agreements, client agreements)
- Ability to balance legal risks with commercial considerations
- Ability to work independently and in a team; strong communication and interpersonal skills; attention to detail; high integrity and sound judgment
- Strong communication and interpersonal skills
- Attention to detail
- High integrity and sound judgment
- Knowledge of investment management, private wealth, trusts and estates, and/or financial services
- Contract drafting and negotiations
- Familiarity with regulations (SEC, FINRA) and Investment Advisers Act guidance
