Senior Compliance Officer

Neuberger Berman•New York, NY

6d•$190,000 - $250,000•Hybrid

About The Position

Neuberger is seeking an experienced compliance professional to join its Legal & Compliance Department. The Compliance Officer will support the compliance programs within Neuberger’s Private Wealth Business, including investment adviser, broker-dealer and trust companies. The role will work closely with senior Legal & Compliance personnel, business leaders, internal audit, risk management, operations, technology and other control functions on regulatory, fiduciary and governance matters. The successful candidate will have strong judgment, excellent written and analytical skills, and the ability to manage multiple matters in a highly regulated financial-services environment.

Requirements

Bachelor’s degree required; J.D. highly preferred
At least 5 years of relevant experience in financial-services compliance, legal, internal audit, risk management or regulatory affairs
Experience with one or more of the following is strongly preferred: investment adviser compliance, broker-dealer compliance, trust-company or banking regulation, fiduciary activities, regulatory examinations or financial-services governance
Working knowledge of applicable SEC, FINRA and fiduciary requirements; familiarity with OCC requirements and ERISA is a plus
Demonstrated ability to analyze complex regulatory issues and communicate conclusions clearly and practically
Excellent drafting, organizational, project-management and interpersonal skills
Ability to exercise sound judgment, maintain confidentiality and work independently while collaborating effectively with multiple stakeholders
Attention to detail and the ability to manage competing priorities and deadlines

Responsibilities

Support the compliance programs for Neuberger’s Private Wealth business, including monitoring regulatory requirements and maintaining policies and procedures
Working with technology and business partners to develop and update compliance programs and systems
Assist with examinations, inquiries and information requests from the OCC, SEC, FINRA and other regulators, including coordinating document productions, drafting responses and tracking follow-up items
Prepare and review compliance, governance and fiduciary materials for boards and committees, including agendas, reports, resolutions, minutes and supporting materials
Review and update compliance manuals, trust-company policies, committee charters and related governance documentation
Provide compliance support regarding fiduciary administration, collective investment trusts, investment management, cash and custody activities, third-party oversight and trust-company operations
Assist with investment adviser and broker-dealer compliance matters, including regulatory filings, trading and reporting requirements, conflicts, disclosures and supervisory controls
Analyze information barrier, wall-crossing, material non-public information, restricted-list and conflict-of-interest matters
Conduct or coordinate compliance monitoring, testing, risk assessments and remediation activities, and help maintain clear records of conclusions and follow-up
Research regulatory developments and translate requirements into practical guidance, policies, training and implementation steps
Partner with colleagues across Legal & Compliance, business units, Internal Audit, Risk, Operations, Technology, Finance and outside counsel on cross-functional initiatives
Assist with special projects and other compliance matters as needed