Compliance Analyst

Neuberger Berman • New York, NY

1d • $85,000 - $105,000 • 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
• 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

Nice To Haves

• Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus
• Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus

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

Benefits

• We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits to eligible employees.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level