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Neuberger Berman · 1 day ago

Compliance Analyst

New York, NY

Full-time

Onsite

Entry, Mid Level

$85K/yr - $105K/yr

1+ years exp

Neuberger Berman is seeking an Analyst to join the Compliance Team. The primary focus of this role is surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program.

BankingBusiness DevelopmentFinanceFinancial Services

Culture & Values

No H1B

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

Qualification

Compliance experienceSurveillance systemsRegulatory filingsInvestment products knowledgeAnalytical skillsInterpersonal skillsCommunication skillsTeam player