Neuberger Berman
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Compliance Analyst
role at
Neuberger Berman
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
Neuberger Berman is unable to offer visa sponsorship for this position. Applicants must be authorized to work in the United States without the need for current or future sponsorship.
Compensation Details The salary range for this role is $85,000-$105,000. 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.
Neuberger Berman 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 onlineaccommodations@nb.com.
Learn about the Applicant Privacy Notice.
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Compliance Analyst
role at
Neuberger Berman
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
Neuberger Berman is unable to offer visa sponsorship for this position. Applicants must be authorized to work in the United States without the need for current or future sponsorship.
Compensation Details The salary range for this role is $85,000-$105,000. 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.
Neuberger Berman 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 onlineaccommodations@nb.com.
Learn about the Applicant Privacy Notice.
#J-18808-Ljbffr