Compliance Analyst - Mutual Funds

Neuberger Berman•New York, NY

2d•Hybrid

About The Position

The Compliance Analyst – Mutual funds position will report to the Chief Compliance Officer of Neuberger Registered Funds, including exchange traded funds (“ETF”). The primary responsibility of the position will be to focus on registered fund related compliance matters.

Requirements

1-3 years of compliance experience related to the federal securities laws, preferably investment management compliance experience
Bachelor’s degree, graduate degree a plus
SEC regulatory, consulting or other asset management experience within the financial services industry
Familiarity with regulatory requirements for registered funds, including exchange-traded funds (“ETFs”)
Ability to work well in a team structure involving both business and support functions
Experience working with and preparing materials for presentation to Boards of Directors and/or other senior management
Ability to interact with internal and external clients and service providers (e.g., law firms, auditors, external administrators) in the review and development of an effective review of compliance across all client accounts
Demonstrated analytical ability, strong written and oral communication skills
Excellent interpersonal skills--ability to interact with all levels of staff including senior management
Must be detail oriented
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.

Nice To Haves

Familiarity with alternative investment products and co-investment regulations a plus
Experience working within a firm with diverse businesses ( e.g ., broker-dealer, investment adviser, investment companies preferred)
Experience with portfolio management systems and/or compliance monitoring systems for use in monitoring and reporting account activity; Knowledge of compliance tools such as Aladdin, Perform or similar portfolio compliance monitoring system a plus

Responsibilities

Provide support on general compliance matters and projects related to the registered funds business, including compliance surveillance activities related to employee emails, investment guideline alerts and various fund related policies under Rule 38a-1 and Rule 206(4)-7 compliance programs
Assist with various compliance matters and oversight of mutual funds, ETFs and exchange traded and non-exchange traded registered closed end-funds, including compliance matters related to the launch of ETFs and other registered funds
Assist the Chief Compliance Officer – Registered Funds in preparing various board reports and communications for proprietary and/or sub-advised funds including monthly, quarterly and annual compliance checklists and documentation
Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer – Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries
Serve as a resource on compliance matters to the various fund support areas (Fund Administration, Shareholder Servicing, Risk, Guideline Oversight/ Business Control, Legal.)