Nicole Shortridge-Lis
AVP - Risk Officer - Equities @AllianceBernstein
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WORK HISTORY
AVP - Risk Officer - Equities @AllianceBernstein
Nashville, TN, US
AB\'s Risk Management Team independently identifies, evaluates and reports risks within the firm’s business units and recommends changes where necessary. Risk Management is also responsible for building the language and documentation of risk throughout AllianceBernstein to create a common understanding and apply risk measures consistently. The Investment/Market Risk Management Team provides additional oversight to Portfolio Managers and Traders, along with the operational teams that support the buy-side Equities book of business at AllianceBernstein.
EDUCATION
Keller Graduate School
Master’s Degree, Accounting and Finance
Keller Graduate School
Master of Business Administration (M.B.A.), International Business
Armstrong Atlantic State University
Bachelor of Arts (B.A.), Political Science
SKILLS
ABOUT NICOLE SHORTRIDGE-LIS
Nicole Shortridge-Lis is an investment professional in the Nashville area. She manages complex financial analysis of large portfolios and has an eye for identifying and resolving operational and compliance issues in multiple areas.(Dodd-Frank, Investment Act of 1940, GIPS, FATCA and others.) She implements focused financial statement analysis of accounts, prepares audit-ready documents and acts as a project coordinator throughout funds’ entire project lifecycles, from new agreements to daily operations. She supports both internal and external departments for account project management needs, ensuring immediate and annual tax and audit reports are error-free and complete by deadline. Her background in financial analysis and operations spans over 20 years with expertise in virtually every investment space including mutual funds, hedge funds, private equity, venture capital, and alternative investments.Nicole is available to discuss compliance issues, financial analysis, and ways to improve account management workflow. In addition to a Master’s degree in accounting and finance, she also holds a bachelor’s degree in political science and an MBA in international business. She is also a Tennessee Notary Public (commission expires 10/22/2026) and is Series 99 FINRA certified.
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