Compliance Analyst

Neuberger Berman•New York, NY

11d•Hybrid

About The Position

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.

Requirements

1 - 5 years of investment advisory or broker-dealer compliance experience
Bachelor's degree required
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

Nice To Haves

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

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