Compliance Analyst

Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm's global compliance program.

Primary Responsibilities:

• Review and analyze reports generated by the firm's surveillance systems.
• Communicate and address surveillance issues, as necessary
• Provide guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment
• Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus
• Prepare and submit regulatory filings (i.e., Form13G and 13D filings)
• Assist with regulatory examinations, inquiries, investigations and projects, as necessary
• Deliver new hire and annual compliance training and assist with content updates
• Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program
• Update, maintain, and draft firm policies and procedures
• Review and approve employee requests (e.g. gifts/entertainment, political contributions, outside business activities and private investments) in the internal compliance system
• Partner with Technology to enhance internal review and surveillance systems
• Draft compliance communications for the firm

Requirements:

• 1 - 5 years of investment advisory or broker-dealer compliance experience
• Bachelor's degree required
• Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus
• Collaborative team player with a strong work ethic and high integrity
• Excellent interpersonal and communication skills; able to interact effectively with all levels of management
• Strong analytical skills and attention to detail; ability to manage multiple priorities

LI-Hybrid

LI-MB1
Applicants must be authorized and have the right to work in the country where the role is located without the need for current or future sponsorship.

Compensation Details

The salary range for this role is $80,000-$110,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.

Neuberger is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact View email address on click.appcast.io.

Learn about the Applicant Privacy Notice.