Compliance Analyst

Compliance Analyst

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.

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 :

Compensation Details The salary range for this role is $85,000-$105,000. 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.