Compliance Analyst

About the role

Neuberger is seeking an Analyst to join its Compliance Team in New York, reporting to the Chief Compliance Officer of Central Compliance. The role focuses on surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm's global compliance program.

Key responsibilities

• Review and analyze reports generated by the firm's surveillance systems and communicate and address surveillance issues as necessary
• Guide business units on policy issues related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities and Gifts/Entertainment
• Conduct email surveillance; experience with the Global Relay Archive & Compliance system is a plus
• Prepare and submit regulatory filings such as Form 13G and 13D filings
• Assist with regulatory examinations, inquiries, investigations and projects as needed
• Deliver new hire and annual compliance training and help update content
• Take part in compliance testing under the Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program
• Update, maintain and draft firm policies and procedures
• Review and approve employee requests (gifts/entertainment, political contributions, outside business activities, private investments) in the internal compliance system
• Partner with Technology to improve internal review and surveillance systems and draft compliance communications

Required profile

• 1 to 5 years of investment advisory or broker-dealer compliance experience
• Bachelor's degree required
• Experience with equity and fixed-income securities products preferred; familiarity with futures, commodities, currencies and derivatives is a plus
• Authorized to work in the United States without current or future sponsorship

Required skills

• Strong analytical skills and attention to detail, able to manage multiple priorities
• Excellent interpersonal and communication skills, working effectively with all levels of management
• Collaborative team player with a strong work ethic and high integrity

What we offer

• Salary range of $80,000-$110,000, with eligibility for a discretionary bonus
• Benefits including paid time off, medical/dental/vision insurance, retirement, life insurance and other benefits
• Hybrid work arrangement